Mitchell R. Johnson

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CRD#: 1488814

Professional summary

Mitchell Reed Johnson was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mitchell Reed Johnson was a registered financial professional .

Mitchell is a previously registered financial professional and started their career in finance in 2003. Mitchell had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 18, 2017 - July 9, 2018

TUCKER ASSET MANAGEMENT LLC

RIA

CRD#: 174844

Lake Oswego, OR

Past

April 18, 2016 - April 5, 2017

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Lake Oswego, OR

Past

May 12, 2015 - February 10, 2016

REDHAWK WEALTH ADVISORS, INC.

RIA

CRD#: 146616

LAKE OSWEGO, OR

Past

February 11, 2014 - February 27, 2015

UNITED ADVISORS AMERICA

RIA

CRD#: 147350

PROSPER, TX

Past

August 1, 2007 - January 30, 2009

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

PORTLAND, OR

Past

April 17, 2006 - July 5, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

PORTLAND, OR

Past

February 17, 2006 - July 5, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

PORTLAND, OR

Past

January 15, 2003 - February 23, 2006

EDWARD JONES

CRD#: 250

LAKE OSWEGO, OR

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".

TUCKER ASSET MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC

CRD#: 174844 / SEC#: 801-107110

RIA

Registered Investment Advisory firm - (1/13/2016 Approved)

Colorado

Registered Investment Advisory firm - (1/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (2/12/2016 Terminated)

Iowa

Registered Investment Advisory firm - (1/26/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (1/26/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2016 Terminated)

Montana

Registered Investment Advisory firm - (1/22/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (1/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (1/22/2016 Terminated)

Ohio

Registered Investment Advisory firm - (1/22/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/22/2016 Terminated)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 6/22/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/16/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/13/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/10/2007

Investment Company Products/Variable Contracts Principal Examination

Current Firm

TUCKER ASSET MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC

CRD#: 174844 / SEC#: 801-107110

RIA

Registered Investment Advisory firm - (1/13/2016 Approved)

Colorado

Registered Investment Advisory firm - (1/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (2/12/2016 Terminated)

Iowa

Registered Investment Advisory firm - (1/26/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (1/26/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2016 Terminated)

Montana

Registered Investment Advisory firm - (1/22/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (1/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (1/22/2016 Terminated)

Ohio

Registered Investment Advisory firm - (1/22/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/22/2016 Terminated)

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Contact information

Main Address

1520 West Canal Court Suite 100, Littleton, CO 80120

Mailing Address

Phone number

(303) 734-1234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,243
AUM (Assets Under Management)	$ 640,805,363

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.

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Advisor Monitoring

Firm Stability Insights

Mitchell R. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURE INVESTMENT MANAGEMENT, LLC

REDHAWK WEALTH ADVISORS, INC.

UNITED ADVISORS AMERICA

FARMERS FINANCIAL SOLUTIONS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

EDWARD JONES

Primary Firm SEC Registration

TUCKER ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/22/2013

Series 63

Date: 1/16/2003

Series 7

Date: 1/13/2003

Series 26

Date: 8/10/2007

Current Firm

TUCKER ASSET MANAGEMENT LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TUCKER ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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