Kelly J. Johnson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kelly John Johnson was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1986. Kelly had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2021 - December 31, 2021
ALLIUM FINANCIAL ADVISORS, LLC
December 3, 2018 - March 13, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
August 15, 2018 - March 13, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
May 28, 2015 - March 7, 2018
LPL FINANCIAL LLC
March 16, 2010 - July 1, 2014
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
February 17, 2010 - July 1, 2014
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
April 23, 2002 - January 21, 2009
RBC CAPITAL MARKETS, LLC
March 2, 1998 - January 21, 2009
RBC CAPITAL MARKETS, LLC
February 10, 1994 - March 2, 1998
DAIN RAUSCHER INCORPORATED
April 15, 1988 - February 18, 1994
UBS FINANCIAL SERVICES INC.
February 8, 1988 - June 17, 1988
CITIGROUP GLOBAL MARKETS INC.
May 21, 1986 - February 27, 1988
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
ALLIUM FINANCIAL ADVISORS, LLC
CRD#: 288462 / SEC#: 801-110536
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/2/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLIUM FINANCIAL ADVISORS, LLC
CRD#: 288462 / SEC#: 801-110536
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 680 |
| AUM (Assets Under Management) | $ 638,921,337 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/29/2025 | ||
| 02/20/2024 | ||
| 01/24/2023 |
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.
