Steven G. 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.
Steven Grant Johnson was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1988. Steven had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - February 3, 2015
CETERA INVESTMENT ADVISERS LLC
July 25, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
July 24, 2012 - February 3, 2015
CETERA INVESTMENT SERVICES LLC
December 6, 2011 - August 3, 2012
NEW ENGLAND SECURITIES
September 26, 2011 - August 3, 2012
NEW ENGLAND SECURITIES
January 7, 2010 - March 16, 2011
MML INVESTORS SERVICES, LLC
June 2, 2008 - March 16, 2011
MML INVESTORS SERVICES, LLC
October 1, 2007 - May 28, 2008
EQUITABLE ADVISORS, LLC
May 25, 2007 - October 2, 2007
SECURIAN FINANCIAL SERVICES, INC.
May 3, 2006 - May 4, 2007
STATE FARM VP MANAGEMENT CORP.
February 10, 2004 - March 20, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
February 17, 1988 - March 20, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
