Mark Kenneth Johnson
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
41 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
Contact Information
Main Address
90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108Mailing Address
90 South Seventh Street Suite 3300, Minneapolis, MN 55402-4108Phone Number
(612) 376-4000Established
Delaware since 08/19/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
120SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Part 2 Brochures
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 |
| 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
1,055AUM (Assets Under Management)
$329,636,522Disclosures
Regulatory Event
25Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
State Registrations and Notice Filings
(12/6/2010)
(12/6/2010)
(12/6/2010)
(7/30/2020)
(1/8/2025)
(12/6/2010)
(1/8/2014)
(1/8/2014)
(1/8/2014)
(4/28/2020)
(1/8/2014)
(9/25/2013)
(1/8/2014)
(1/8/2014)
(12/6/2010)
(1/8/2014)
(1/8/2014)
(5/29/2012)
(1/2/2014)
(1/2/2025)
(7/30/2020)
(6/8/2016)
(1/8/2014)
(1/13/2014)
(12/6/2010)
(12/13/2010)
(1/9/2014)
(8/9/2012)
(1/8/2014)
(1/8/2014)
(1/25/2021)
(6/5/2013)
(1/8/2014)
(9/15/2020)
(1/8/2014)
(1/26/2016)
(1/8/2014)
(1/8/2014)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 12 — NYSE Branch Manager Examination
Passed Jul 2000SRO Registrations
SRO Registrations
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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).
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