PJ
Phyllis K. Johnson
CETERA INVESTMENT ADVISERS LLC
HOUSTON, TX 77098
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CRD#: 1343524
PJ
Professional summary
Phyllis Kirven Johnson, who also goes by Phyllis Denise Kirven, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA FINANCIAL SPECIALISTS LLC located in Houston, Texas.
Phyllis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Phyllis has worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phyllis Denise Kirven
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.
1. PK JOHNSON FINANCIAL SERVICES, LLC; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION DBA FOR FINANCIAL SERVICES; START 6/2015; 40 HOURS/WEEK DURING SECURITIES TRADING HOURS; OWNER/FINANCIAL CONSULTANT. 2.NAME OF OTHER BUSINESS: INCLUSIVE FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES AND INSURANCE DBA; START DATE: 04/2019; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES AND INSURANCE DBA; 3. NAME OF OTHER BUSINESS: KIRVEN WEALTH STRATEGIES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2024, POSITION/TITLE/RELATIONSHIP: OWNER/PARTNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Phyllis Kirven 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®
NoneExperience
Current
June 8, 2015 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3334 Richmond Avenue Suite 103, Houston, TX 77098RIA
CRD#: 105644
HOUSTON, TX
Current
June 5, 2015 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 3334 Richmond Avenue Suite 218, Houston, TX 77098BD
CRD#: 10358
HOUSTON, TX
Past
June 20, 2011 - June 9, 2015
FSC SECURITIES CORPORATION
BD
CRD#: 7461
HOUSTON, TX
Past
May 18, 2009 - July 31, 2015
PK JOHNSON FINANCIAL SERVICES, LLC
RIA
CRD#: 149462
HOUSTON, TX
Past
November 19, 2007 - June 3, 2011
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
HOUSTON, TX
Past
November 19, 2007 - June 3, 2011
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
HOUSTON, TX
Past
October 17, 2005 - November 19, 2007
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
HOUSTON, TX
Past
April 2, 2001 - February 26, 2009
MONEY & INVESTMENT CONCEPTS
RIA
CRD#: 115166
HOUSTON, TX
Past
April 22, 1997 - October 19, 2005
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Louisiana(4/14/2021)
RR
Texas(6/5/2015)
IAR
Texas(6/8/2015)
RR
Washington(11/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
