DJ
Deborah K. Johnson
NATIONS FINANCIAL GROUP
HIAWATHA, IA 52233
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CRD#: 1370760
DJ
Professional summary
Deborah Kay Johnson, who also goes by Deb Johnson, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Hiawatha, Iowa.
Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Deborah has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Deb 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.
HEY JUDE PARTNERS. NOT INVESTMENT RELATED. 1067 N CENTER POINT RD HIAWATHA, IA 52233. NATURE OF BUSINESS IS COMMERCIAL REAL ESTATE. OWNER OF 1 BUILDING. POSITION IS OWNER/PARTNER. STARTED 1/2001. APPROX 3-4 HRS/MONTH ON OTHER BUSINESS. 1-2 HRS/MONTH DURING SECURITY TRADING HRS. DUTIES ARE BOOKKEEPING// Northern lights farm. 1660 o'connor rd. cedar rapids, ia . not investment related. nature of business private horse boarding. position is owner/partner. start 7/15/16. approx 10-15 hrs per month spent on business, with 3-4 during security trading hrs. duties are management of boarding staff, boarders, etc.// Next Generation Wealth, LLC. 1067 N. Center Point Rd. Hiawatha, IA 52233. Is investment related. Nature of business is LLC for investment business. Position is owner, employee, partner. Started 5/12/23. Spend approx 160 hours/month on business, all during security trading hrs. Duties are as Financial Advisor Eastern Iowa Dressage and Combined Training GMO. 4810 Rapid Creek Rd. Iowa City, IA 52240. Not investment related. Nature of business is equine education and training. Position is Treasurer. Start date - 12/21/23. Approx 3 hours/month spent on business, none during security trading hours. Duties are monthly financial reports.
CRS (Client Relationship Summary) - RIA
Click below to view Deborah Kay Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Deborah Kay 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
October 18, 2012 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 1067 N. Center Point Rd, Hiawatha, IA 52233RIA
BD
CRD#: 44181
HIAWATHA, IA
Current
October 18, 2012 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 1067 N. Center Point Rd, Hiawatha, IA 52233RIA
BD
CRD#: 44181
HIAWATHA, IA
Past
August 21, 2002 - October 18, 2012
1ST DISCOUNT BROKERAGE, INC.
BD
CRD#: 39164
CEDAR RAPIDS, IA
Past
May 1, 2001 - October 31, 2012
FINANCIAL RESOURCES GROUP
RIA
CRD#: 116683
CEDAR RAPIDS, IA
Past
April 28, 1997 - August 21, 2002
ACUMENT SECURITIES, INC.
BD
CRD#: 7661
SAN FRANCISCO, CA
Past
March 30, 1989 - April 28, 1997
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
May 24, 1985 - April 6, 1989
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Arizona(10/18/2012)
RR
Colorado(1/6/2020)
RR
Connecticut(6/15/2015)
RR
Florida(6/1/2018)
RR
Hawaii(7/24/2024)
RR
Illinois(10/18/2012)
RR
Iowa(10/18/2012)
IAR
Iowa(10/18/2012)
RR
Kansas(11/9/2023)
RR
Maryland(1/26/2024)
RR
Michigan(5/23/2013)
RR
Minnesota(10/18/2012)
RR
Missouri(4/29/2015)
RR
North Carolina(6/6/2019)
RR
Ohio(10/18/2012)
RR
Oklahoma(8/22/2024)
RR
Oregon(1/4/2018)
RR
South Carolina(4/20/2022)
RR
Tennessee(1/2/2024)
RR
Texas(1/4/2021)
IAR
Texas(3/6/2023)
RR
Wisconsin(10/18/2012)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
Company Information
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181Hiawatha, IA 52233TRUST BUT VERIFY
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