Clark D. Johnson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Clark David Johnson, who also goes by Clark D Johnson, was a registered financial professional .
Clark is a previously registered financial professional and started their career in finance in 1985. Clark had worked at 5 firms and has passed the Series 65, Series 63, Series 2, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2015 - January 2, 2018
UNITED CAPITAL FINANCIAL ADVISORS
October 20, 2003 - April 22, 2004
HACKETT CAPITAL MANAGEMENT, LLC
January 1, 1999 - January 23, 2015
CAPITAL INVESTMENT COUNSEL, INC
January 19, 1989 - December 24, 1992
LEHMAN BROTHERS INC.
March 20, 1985 - February 6, 1989
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 2/24/1994
Non-Member General Securities ExaminationCurrent Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
