DJ
David W. Johnson
PRIVATE CLIENT GROUP ASSET MANAGEMENT
GLADSTONE, NJ 07934
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CRD#: 1684551
DJ
Professional summary
David Wordlow Johnson is a registered financial advisor currently at PRIVATE CLIENT GROUP ASSET MANAGEMENT located in Gladstone, New Jersey and CETERA INVESTMENT ADVISERS LLC located in Gladstone, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. David has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 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.PRIVATE CLIENT GROUP ASSET MANAGEMENT; DIRECT OWNER. REGISTERED INVESTMENT ADVISOR. START DATE 1/6/2009. 2.CENTENARY COLLEGE. TRUSTEE. START DATE 10/27/2008. 3. SUCCESSION CAPITAL ALLIANCE (SCA; INDEPENDENT CONTRACTOR; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 11/01/2011; 20 HOURS PER MONTH. 4. THE CFS GROUP;INDEPENDENT CONTRACTOR; INSURANCE (FIXED/LIFE/HEALTH/P&C); 16 HRS. PER MONTH; START DADTE 07/15/2012 5. Freedom House; Board Member; Non-Profit Organization; Start date 10/01/2015; 4 hours per month. 6. PHOENIX VENTURE GROUP LLC; BOARD MEMBER; START DATE 04/01/2014; 20 HOURS PER MONTH. 7. BASEBALL ASSISTANCE TEAM (BAT); VOLUNTEER; NON-PROFIT ORGANIZATION; START DATE: 5/1/2018; 8 HOURS PER MONTH. 8. PARENT ADVISORY COUNCIL COLLEGE OF CHARLOTTE; MEMBER; NON PROFIT ORGANIZATION; START DATE 01/01/2020; 4 HOURS PER MONTH. 9. NAME OF OTHER BUSINESS: BARTON NURSERY ENTERPRISE, INC.; INVESTMENT RELATED: NO; ADDRESS: 949 NEW DURHAM ROAD EDISON, NJ 08817; NATURE OF BUSINESS: NURSERY; START DATE: 09/2024; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HANDLE ADMINISTRATIVE MATTERS, TAKING MEETING MINUTES AND WITNESSING DOCUMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view David Wordlow 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
May 15, 2009 - Present
PRIVATE CLIENT GROUP ASSET MANAGEMENT
Office #1: 240 Main Street Suite 200, Gladstone, NJ 07934RIA
CRD#: 148208
GLADSTONE, NJ
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 240 Main Street, Suite 200, Gladstone, NJ 07934RIA
CRD#: 105644
Gladstone, NJ
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 240 Main Street, Suite 200, Gladstone, NJ 07934BD
CRD#: 10299
Gladstone, NJ
Past
January 23, 2018 - September 17, 2021
JOHNSON & MURPHY WEALTH ADVISORS, LLC
RIA
CRD#: 289134
BEDMINSTER, NJ
Past
October 27, 2017 - December 31, 2017
JOHNSON & MURPHY WEALTH ADVISORS, LLC
RIA
CRD#: 289134
BEDMINSTER, NJ
Past
January 13, 2016 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Bedminster, NJ
Past
January 30, 2009 - March 12, 2009
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
BEDMINSTER, NJ
Past
January 30, 2009 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
BEDMINSTER, NJ
Past
May 23, 2002 - February 11, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BEDMINSTER, NJ
Past
January 28, 1995 - February 11, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BEDMINSTER, NJ
Past
August 18, 1987 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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(9/8/2022)
RR
Arizona(9/8/2022)
RR
Arkansas(9/8/2022)
RR
California(9/8/2022)
RR
Connecticut(9/8/2022)
RR
Delaware(9/8/2022)
RR
District of Columbia(9/8/2022)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Idaho(9/8/2022)
RR
Illinois(9/8/2022)
RR
Indiana(5/8/2025)
RR
Iowa(12/16/2024)
RR
Kansas(9/8/2022)
RR
Kentucky(9/8/2022)
RR
Maine(9/8/2022)
RR
Maryland(9/8/2022)
RR
Massachusetts(9/9/2022)
RR
Michigan(9/8/2022)
RR
Nebraska(9/24/2025)
RR
New Hampshire(9/8/2022)
IAR
New Jersey(5/15/2009)
RR
New Jersey(9/8/2022)
RR
New Mexico(9/8/2022)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Ohio(9/8/2022)
RR
Oregon(9/8/2022)
RR
Pennsylvania(9/8/2022)
RR
Puerto Rico(9/8/2022)
RR
South Carolina(9/8/2022)
RR
Tennessee(9/8/2022)
IAR
Texas(7/31/2019)
RR
Texas(9/8/2022)
IAR
Texas(10/6/2022)
RR
Utah(9/8/2022)
RR
Virginia(9/8/2022)
RR
Washington(9/8/2022)
RR
Wisconsin(9/8/2022)
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
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
