Peter W. Johnson

PWJOHNSON WEALTH & LEGACY

Los Altos, CA 94024-6913

Some features on this profile are disabled

CRD#: 1435611

Professional summary

Peter William Johnson JR is a registered financial advisor currently at PWJOHNSON WEALTH & LEGACY, LLC located in Los Altos, California.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Peter has worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

What is your minimum asset requirement?

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.

Mr. Johnson is the President of AdvisorPress, Inc., a small publisher of personal financial planning information. Activities include public financial literacy events held at no cost to consumers; digital and print book and article publishing.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter William Johnson JR'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®

None

Experience

Current

July 1, 2020 - Present

PWJOHNSON WEALTH & LEGACY, LLC

Office #1: 2051 Grant Road Suite 240, Los Altos, CA 94024-6913

RIA

CRD#: 133538

Los Altos, CA

Past

December 21, 2018 - July 1, 2020

ONEASCENT FINANCIAL SERVICES LLC

RIA

CRD#: 284549

Los Altos, CA

Past

May 16, 1990 - December 20, 2018

PWJOHNSON WEALTH & LEGACY, LLC

RIA

CRD#: 133538

SUNNYVALE, CA

Past

October 30, 1989 - March 31, 1992

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

Past

November 3, 1988 - November 15, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 1, 1988 - November 3, 1988

CHRISTOPHER WEIL & COMPANY, INC

CRD#: 6566

Past

February 11, 1986 - April 4, 1988

JUDY & ROBINSON SECURITIES, INC

CRD#: 2378

Past

November 20, 1985 - January 21, 1986

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

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.

Highlighted states indicate IAR registrations

IAR

California
(7/1/2020)

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.

Exams

State Security Law Exam

Series 63

Date: 11/20/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

Current Firm

PWJOHNSON WEALTH & LEGACY, LLC

CRD#: 133538 / SEC#: 801-67418

RIA

Registered Investment Advisory firm - (6/21/2012 Terminated)

California

Registered Investment Advisory firm - (6/20/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2051 Grant Road Suite 240, Los Altos, CA 94024-6913

Mailing Address

Phone number

(408) 747-1222

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	225
AUM (Assets Under Management)	$ 63,990,340

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Ronald Guay

FALCON WEALTH PLANNING, INC.

IAR

San Jose, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Peter W. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter William Johnson JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PWJOHNSON WEALTH & LEGACY, LLC

ONEASCENT FINANCIAL SERVICES LLC

PWJOHNSON WEALTH & LEGACY, LLC

KEOGLER, MORGAN & COMPANY, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

CHRISTOPHER WEIL & COMPANY, INC

JUDY & ROBINSON SECURITIES, INC

FINANCIAL PLANNERS EQUITY CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 11/20/1987

Series 7

Date: 11/16/1985

Current Firm

PWJOHNSON WEALTH & LEGACY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PWJOHNSON WEALTH & LEGACY, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors