BJ
Brian H. Johnson
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Denver, CO
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CRD#: 1789639
BJ
Professional summary
Brian Hayden Johnson, who also goes by Brian H Johnson, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Denver, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Golden, Colorado.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Brian has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian H Johnson
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) BRIAN H JOHNSON, 3846 S Jersey St, Denver CO 80237, United States, 12/03/2014, Owner, Owner/Partner of a Business Entity, NIR, 10 HR/MO - 2 HR/MO TRADING 2) JOHNSON WEALTH MANAGEMENT LLC, 350 Indiana Street, Suite 730, Golden CO 80401, United States, 12/03/2014, Owner, DBA Name, INV REL, 130 HR/MO - 130 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 12/03/2014
CRS (Client Relationship Summary) - RIA
Click below to view Brian Hayden 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
December 3, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 350 Indiana St. Ste. 730, Golden, CO 80401RIA
CRD#: 134139
Denver, CO
Current
December 3, 2014 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 350 Indiana Street, Suite 730, Golden, CO 80401BD
CRD#: 39543
Golden, CO
Past
October 21, 2008 - December 1, 2014
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
GREENWOOD VILLAGE, CO
Past
October 13, 2008 - December 1, 2014
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
GREENWOOD VILLAGE, CO
Past
September 3, 2004 - November 5, 2007
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
LONE TREE, CO
Past
September 3, 2004 - November 5, 2007
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
LONE TREE, CO
Past
March 16, 2001 - September 8, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CENTENNIAL, CO
Past
August 21, 2000 - September 8, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 26, 1988 - August 23, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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(12/22/2023)
RR
Colorado(12/3/2014)
IAR
Colorado(12/3/2014)
RR
Florida(12/3/2014)
RR
Michigan(12/3/2014)
RR
Mississippi(12/22/2023)
RR
Montana(5/9/2016)
RR
Texas(12/3/2014)
IAR
Texas(11/10/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
