MJ
Mark K. Johnson
COLLIERS SECURITIES LLC
Fargo, ND 58104-8908
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CRD#: 1433801
MJ
Professional summary
Mark Kenneth Johnson is a registered financial advisor currently at COLLIERS SECURITIES LLC located in Fargo, North Dakota.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Mark has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 12, Series 4, Series 53 and Series 24 exams.
Question & Answer
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.
(1) K & P JOHNSON FAMILY LLP; INVESTMENT RELATED; FARGO, MN; FARMLAND MANAGEMENT (FAMILY FARM); OWNER AND MANAGING PARTNER; JANUARY 2013; 5 TO 10 HOURS PER MONTH, NONE DURING NORMAL BUSINESS HOURS; MANAGE RENTAL AGREEMENTS, GENERAL BOOK KEEPING
CRS (Client Relationship Summary) - RIA
Click below to view Mark Kenneth Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Kenneth 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
December 13, 2010 - Present
COLLIERS SECURITIES LLC
Office #1: 3170 43rd Street S, Suite 105, Fargo, ND 58104-8908Office #2: 910 Lincoln Avenue, Suite 108, Detroit Lakes, MN 56501RIA
BD
CRD#: 7477
Fargo, ND
Current
December 6, 2010 - Present
COLLIERS SECURITIES LLC
Office #1: 3170 43rd Street S, Suite 105, Fargo, ND 58104-8908Office #2: 910 Lincoln Avenue, Suite 108, Detroit Lakes, MN 56501RIA
BD
CRD#: 7477
Fargo, ND
Past
May 23, 2005 - December 9, 2010
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
FARGO, ND
Past
March 21, 2005 - December 9, 2010
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
FARGO, ND
Past
March 27, 2001 - March 7, 2005
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
FARGO, ND
Past
January 12, 2001 - December 31, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 13, 2000 - March 7, 2005
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
November 10, 1999 - May 7, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
February 8, 1989 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 23, 1985 - February 28, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
COLLIERS SECURITIES LLC
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
CRD#: 7477 / SEC#: 801-80233, 8-21937
RIA
Registered Investment Advisory firm - SEC (9/25/2014 Approved)Arizona
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)California
Registered Investment Advisory firm - SEC (10/20/2014 Terminated)Florida
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (10/13/2014 Terminated)North Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)South Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)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
Alabama(7/30/2020)
RR
Alaska(4/29/2020)
RR
Arizona(12/6/2010)
RR
Arkansas(7/30/2020)
RR
California(12/6/2010)
RR
Colorado(12/6/2010)
RR
Connecticut(7/30/2020)
RR
Delaware(1/2/2025)
RR
District of Columbia(1/8/2025)
RR
Florida(12/6/2010)
RR
Georgia(1/8/2014)
RR
Idaho(1/8/2014)
RR
Illinois(1/8/2014)
RR
Indiana(4/28/2020)
RR
Iowa(1/8/2014)
RR
Kansas(8/20/2015)
RR
Kentucky(9/25/2013)
RR
Louisiana(11/13/2025)
RR
Maine(4/28/2020)
RR
Maryland(1/8/2014)
RR
Massachusetts(1/8/2014)
RR
Michigan(1/8/2014)
RR
Minnesota(12/6/2010)
RR
Missouri(1/8/2014)
RR
Montana(1/8/2014)
RR
Nebraska(5/29/2012)
RR
Nevada(1/2/2014)
RR
New Hampshire(1/2/2025)
RR
New Jersey(7/30/2020)
RR
New Mexico(6/8/2016)
RR
New York(1/8/2014)
RR
North Carolina(1/13/2014)
RR
North Dakota(12/6/2010)
IAR
North Dakota(12/13/2010)
RR
Ohio(1/9/2014)
RR
Oklahoma(8/9/2012)
RR
Oregon(1/8/2014)
RR
Pennsylvania(1/8/2014)
RR
Rhode Island(1/19/2023)
RR
South Carolina(1/25/2021)
RR
South Dakota(6/5/2013)
RR
Tennessee(4/28/2020)
RR
Texas(1/8/2014)
IAR
Texas(9/15/2020)
RR
Utah(1/8/2014)
RR
Virginia(1/26/2016)
RR
Washington(1/8/2014)
RR
Wisconsin(1/8/2014)
RR
Wyoming(6/30/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 7/13/2000
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
COLLIERS SECURITIES LLC
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
CRD#: 7477 / SEC#: 801-80233, 8-21937
RIA
Registered Investment Advisory firm - SEC (9/25/2014 Approved)Arizona
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)California
Registered Investment Advisory firm - SEC (10/20/2014 Terminated)Florida
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (10/13/2014 Terminated)North Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)South Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108
Mailing Address
90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108
Phone number
(612) 376-4000
Established
Delaware since 08/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
120
SEC notice filing (15 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLLIERS MORTGAGE HOLDINGS LLC | DIRECT OWNER | |
| HABLE, DEBORAH MARIE | OPERATIONS MANAGER | 1596570 |
| HINIKER, JAMES JOHN III | SVP | 2148843 |
| JACOBSON, JEFFREY DUANE | EVP, CHIEF OPERATING OFFICER & BOARD MEMBER | 1976541 |
| JOHNSON, MARK KENNETH | VP, BRANCH MANAGER, CHIEF SUPERVISION OFFICER | 1433801 |
| JURAN, DAVID BRAMLEY | CHAIRMAN OF THE BOARD | 2166483 |
| MULLEN, DAVID THOMAS | EVP, BOARD MEMBER | 1273590 |
| NORRIS, ROGER ALLAN | SVP, REGISTERED OPTIONS PRINCIPAL | 2201413 |
| STEICHEN, THOMAS FRANCIS | EVP, CCO & GENERAL COUNSEL, BOARD MEMBER | 6920110 |
| THEIS, CRAIG DANIEL | SVP, BOARD MEMBER | 4365341 |
| VAN HANDEL, REBECCA | CHIEF FINANCIAL OFFICER & FINOP | 7558187 |
Regulatory assets under management
| Total Number of Accounts | 1,016 |
| AUM (Assets Under Management) | $ 280,660,825 |
Disclosures
| Regulatory Event | 25 |
| Arbitration | 10 |
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
COLLIERS SECURITIES LLC
CRD#: 7477Fargo, ND 58104-8908TRUST BUT VERIFY
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