Stephen D. Johnson

GREAT BAY WEALTH MANAGEMENT | President Great Bay Wealth Management LLC

Roswell, GA 30075

CRD#: 1238003

Professional summary

Stephen Derek Johnson, CIMA® is a registered financial advisor currently at GREAT BAY WEALTH MANAGEMENT located in Roswell, Georgia.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Stephen has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Investment Management

Do you have an area of expertise or specialization?

Customized Portfolios

Investment Management

High Net Worth Planning

How do you get paid?

Fee-Only

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Derek Johnson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 29, 2017 - Present

GREAT BAY WEALTH MANAGEMENT

Office #1: 3001 Village Green Drive, Roswell, GA 30075

RIA

CRD#: 170686

Roswell, GA

Past

December 14, 2016 - June 21, 2017

QUEST CAPITAL STRATEGIES, INC.

RIA

CRD#: 16783

ROSWELL, GA

Past

November 14, 2016 - June 21, 2017

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

March 12, 2014 - December 20, 2016

GREAT BAY WEALTH MANAGEMENT

RIA

CRD#: 170686

ROSWELL, GA

Past

February 15, 2011 - August 19, 2013

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

February 2, 2011 - August 19, 2013

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

NEW YORK, NY

Past

April 11, 2003 - September 9, 2005

LIGHTHOUSE DREYFUS GROWTH ADVISORS

RIA

CRD#: 123455

NEW YORK, NY

Past

May 22, 2002 - February 26, 2010

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

ROSWELL, GA

Past

June 19, 1997 - February 26, 2010

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

April 14, 1997 - May 6, 1997

BNY MELLON SECURITIES CORPORATION

CRD#: 231

Past

August 11, 1996 - April 29, 1997

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

September 3, 1991 - February 15, 1996

EATON VANCE DISTRIBUTORS, INC.

CRD#: 8039

BOSTON, MA

Past

May 2, 1990 - August 22, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

May 4, 1989 - May 17, 1990

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

July 6, 1987 - August 22, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 24, 1984 - July 22, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(7/10/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/1/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/2/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/22/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/31/2005

General Securities Principal Examination

Current Firm

GREAT BAY WEALTH MANAGEMENT

GREAT BAY WEALTH MANAGEMENT | GREAT BAY WEALTH MANAGEMENT, LLC

CRD#: 170686 / SEC#:

Georgia

Registered Investment Advisory firm - (7/10/2017 Approved)

Texas

Registered Investment Advisory firm - (12/31/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Roswell, GA

Mailing Address

Phone number

(770) 265-9489

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 17,510,686

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Stephen D. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Derek Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

GREAT BAY WEALTH MANAGEMENT

VOYA INVESTMENTS DISTRIBUTOR, LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

LIGHTHOUSE DREYFUS GROWTH ADVISORS

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

BLACKROCK INVESTMENTS, LLC

EATON VANCE DISTRIBUTORS, INC.

UBS FINANCIAL SERVICES INC.

UBS ASSET MANAGEMENT (US) INC.

UBS FINANCIAL SERVICES INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/1/2005

Series 65

Date: 6/2/1999

Series 63

Date: 3/2/1984

SIE

Date: 6/21/2017

Series 3

Date: 5/22/1987

Series 7

Date: 2/18/1984

Series 24

Date: 10/31/2005

Current Firm

GREAT BAY WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GREAT BAY WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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