Donald R. Johnson

ADVISER FINANCIAL GROUP,

Rochester, MN

Some features on this profile are disabled

CRD#: 1258745

Professional summary

Donald Ray Johnson, CFP®, who also goes by Ray Johnson, is a registered financial advisor currently at ADVISER FINANCIAL GROUP, INC located in Rochester, Minnesota.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Donald has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ray Johnson

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 Donald Ray 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®

CFP^®

Certified Financial Planner

Experience

Current

November 20, 2013 - Present

ADVISER FINANCIAL GROUP, INC

RIA

CRD#: 115049

Rochester, MN

Past

November 11, 1994 - July 19, 1995

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

August 6, 1994 - November 15, 1994

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

May 6, 1993 - July 15, 1994

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

May 6, 1993 - July 25, 1994

CALLAHAN FINANCIAL SERVICES, INC.

CRD#: 21344

WASHINGTON, DC

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

Minnesota
(11/20/2013)

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 65

Date: 6/9/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/16/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/18/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/16/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/13/1984

General Securities Principal Examination

Current Firm

ADVISER FINANCIAL GROUP, INC

2700 NORTH BROADWAY, ROCHESTER, MN 55906 | RETIREMENT INVESTIGATOR | ADVISER FINANCIAL GROUP, INC

CRD#: 115049 / SEC#:

Illinois

Registered Investment Advisory firm - (12/31/2001 Terminated)

Minnesota

Registered Investment Advisory firm - (12/1/1995 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Rochester, MN

Mailing Address

P.o. Box 7198, Rochester, MN 55903

Phone number

(507) 280-8897

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Donald R. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Ray Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVISER FINANCIAL GROUP, INC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

FSC SECURITIES CORPORATION

CALLAHAN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/1998

Series 63

Date: 2/16/1993

Series 7

Date: 1/18/1994

Series 6

Date: 2/16/1993

Series 24

Date: 6/13/1984

Current Firm

ADVISER FINANCIAL GROUP, INC

Contact information

Documents

Red Flags

Company Information

ADVISER FINANCIAL GROUP, INC

TRUST BUT VERIFY

Similar Advisors