Douglas F. Johnson

FINANCIAL SECURITY MANAGEMENT,

LAKEWOOD, CO 80227

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CRD#: 1803219

Professional summary

Douglas Frank Johnson, who also goes by Doug Johnson, is a registered financial advisor currently at FINANCIAL SECURITY MANAGEMENT, INC located in Lakewood, Colorado.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Douglas has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug 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) JORDAN AIGAIL HUANG DISABILITY TRUST - YES - 2765 S. ADAMS STREET DENVER, CO -CO TRUSTEE - 01/20/2012 - 1 TO 2/1 HRS A MONTH 2) Prepares tax returns, compensated directly by clients for all such services. Approx 25% of his time will be spent providing these tax services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Frank Johnson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 11, 2010 - Present

FINANCIAL SECURITY MANAGEMENT, INC

Office #1: 2535 S Lewis Way Suite 201, Lakewood, CO 80227

RIA

CRD#: 116570

LAKEWOOD, CO

Past

October 22, 2008 - November 7, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

LAKEWOOD, CO

Past

October 31, 2005 - October 6, 2008

OSAIC SERVICES, INC.

CRD#: 133763

LAKEWOOD, CO

Past

January 6, 1997 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

May 9, 1994 - December 31, 1996

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

October 20, 1993 - May 9, 1994

TRIPLE CHECK FINANCIAL SERVICES, INC.

CRD#: 13344

BURBANK, CA

Past

June 17, 1992 - October 19, 1993

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

January 5, 1990 - June 22, 1992

TRIPLE CHECK FINANCIAL SERVICES, INC.

CRD#: 13344

BURBANK, CA

Past

July 17, 1989 - January 20, 1990

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

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".

FINANCIAL SECURITY MANAGEMENT, INC

CRD#: 116570 / SEC#: 801-81072

RIA

Registered Investment Advisory firm - (3/16/2015 Approved)

California

Registered Investment Advisory firm - (4/17/2015 Terminated)

Colorado

Registered Investment Advisory firm - (4/2/2015 Terminated)

Florida

Registered Investment Advisory firm - (3/18/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (3/18/2015 Terminated)

Texas

Registered Investment Advisory firm - (3/18/2015 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(5/11/2010)

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: 1/19/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/14/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINANCIAL SECURITY MANAGEMENT, INC

CRD#: 116570 / SEC#: 801-81072

RIA

Registered Investment Advisory firm - (3/16/2015 Approved)

California

Registered Investment Advisory firm - (4/17/2015 Terminated)

Colorado

Registered Investment Advisory firm - (4/2/2015 Terminated)

Florida

Registered Investment Advisory firm - (3/18/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (3/18/2015 Terminated)

Texas

Registered Investment Advisory firm - (3/18/2015 Terminated)

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Contact information

Main Address

2535 S Lewis Way Suite 201, Lakewood, CO 80227-6551

Mailing Address

Phone number

(303) 988-1411

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	2,578
AUM (Assets Under Management)	$ 556,022,719

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

Douglas F. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Frank Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

OSAIC WEALTH, INC.

TRIPLE CHECK FINANCIAL SERVICES, INC.

CETERA ADVISORS LLC

TRIPLE CHECK FINANCIAL SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

Primary Firm SEC Registration

FINANCIAL SECURITY MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/2010

Series 63

Date: 9/23/2005

SIE

Date: 11/7/2017

Series 6

Date: 7/14/1989

Current Firm

FINANCIAL SECURITY MANAGEMENT, INC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL SECURITY MANAGEMENT, INC

TRUST BUT VERIFY

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