Joel P. Johnson

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CRD#: 1830286

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.

Joel Pierce Johnson, who also goes by Joel Johnson, was a registered financial professional .

Joel is a previously registered financial professional and started their career in finance in 1989. Joel had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 52, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joel 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 17, 2019 - November 26, 2019

MORETON ASSET MANAGEMENT, LLC

RIA

CRD#: 133417

Denver, CO

Past

March 24, 2017 - December 31, 2018

MORETON ASSET MANAGEMENT, LLC

RIA

CRD#: 133417

Denver, CO

Past

October 31, 2016 - December 31, 2020

MORETON CAPITAL MARKETS, LLC

CRD#: 132643

Denver, CO

Past

November 5, 2013 - June 1, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DENVER, CO

Past

October 25, 2013 - June 1, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DENVER, CO

Past

November 6, 2009 - October 31, 2012

WELLS FARGO SECURITIES, LLC

CRD#: 126292

LINCOLN, NE

Past

May 1, 1991 - November 6, 2009

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

DENVER, CO

Past

January 7, 1991 - May 2, 1991

UBC INVESTMENT CORPORATION

CRD#: 24229

Past

October 25, 1989 - January 9, 1990

UBC INVESTMENT CORPORATION

CRD#: 24229

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".

MORETON ASSET MANAGEMENT, LLC

MORETON ASSET MANAGEMENT, LLC | STRATA ASSET MANAGEMENT, A DBA OF MORETON ASSET MANAGEMENT | STRATA ASSET MANAGEMENT | MORETON FINANCIAL SOLUTIONS, LLC

CRD#: 133417 / SEC#: 801-78112

RIA

Registered Investment Advisory firm - (5/29/2013 Approved)

Arizona

Registered Investment Advisory firm - (6/10/2013 Terminated)

Colorado

Registered Investment Advisory firm - (6/10/2013 Terminated)

Idaho

Registered Investment Advisory firm - (6/11/2013 Terminated)

Utah

Registered Investment Advisory firm - (7/25/2013 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 11/5/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/5/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/18/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/1989

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 4/19/1988

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/18/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/28/2007

Municipal Securities Principal Examination

Current Firm

MORETON ASSET MANAGEMENT, LLC

MORETON ASSET MANAGEMENT, LLC | STRATA ASSET MANAGEMENT, A DBA OF MORETON ASSET MANAGEMENT | STRATA ASSET MANAGEMENT | MORETON FINANCIAL SOLUTIONS, LLC

CRD#: 133417 / SEC#: 801-78112

RIA

Registered Investment Advisory firm - (5/29/2013 Approved)

Arizona

Registered Investment Advisory firm - (6/10/2013 Terminated)

Colorado

Registered Investment Advisory firm - (6/10/2013 Terminated)

Idaho

Registered Investment Advisory firm - (6/11/2013 Terminated)

Utah

Registered Investment Advisory firm - (7/25/2013 Terminated)

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Contact information

Main Address

40 N 100 E, Farmington, UT 84025

Mailing Address

Po Box 280, Farmington, UT 84025

Phone number

(801) 869-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A MARCH 2025 (3/19/2025)

WRAP FEE PROGRAM BROCHURE 2022 MAR (3/19/2025)

Regulatory assets under management

Total Number of Accounts	152
AUM (Assets Under Management)	$ 4,415,724,990

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

Joel P. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORETON ASSET MANAGEMENT, LLC

MORETON CAPITAL MARKETS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO SECURITIES, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

UBC INVESTMENT CORPORATION

UBC INVESTMENT CORPORATION

Primary Firm SEC Registration

MORETON ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/5/2013

Series 63

Date: 8/5/1991

Series 7TO

Date: 3/18/2024

SIE

Date: 10/1/2018

Series 7

Date: 5/20/1989

Series 52

Date: 4/19/1988

Series 24

Date: 3/18/2024

Series 53

Date: 3/28/2007

Current Firm

MORETON ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MORETON ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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