James H. Johnson

SOUND ADVISORY SERVICES

COLBERT, WA

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CRD#: 1939461

Professional summary

James Harris Johnson, who also goes by Jim Johnson, is a registered financial advisor currently at SOUND ADVISORY SERVICES INC. located in Colbert, Washington.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. James has worked at 5 firms and has passed the Series 66, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim 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.

Sound Investment Strategies; INSURANCE AGENT; COLBERT, WA; INSURANCE SALES AND SERVICES; 06/2005.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harris 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®

None

Experience

Current

July 30, 2007 - Present

SOUND ADVISORY SERVICES INC.

RIA

CRD#: 143842

COLBERT, WA

Past

May 24, 2005 - April 5, 2007

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

COLORADO SPRINGS, CO

Past

May 24, 2005 - April 5, 2007

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

COLORADO SPRINGS, CO

Past

February 26, 2003 - May 25, 2005

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

COLORADO SPRINGS, CO

Past

June 11, 2002 - May 25, 2005

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

April 17, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

April 17, 1989 - May 15, 2002

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Washington
(4/28/2025)

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: 8/22/1997

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/22/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/14/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SOUND ADVISORY SERVICES INC.

SOUND ADVISORY SERVICES INC. | SOUND INVESTMENT STRATEGIES, LLC | SOUND INVESTMENT STRATEGIES, INC.

CRD#: 143842 / SEC#:

Colorado

Registered Investment Advisory firm - (4/30/2025 Terminated)

Washington

Registered Investment Advisory firm - (4/28/2025 Approved)

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).

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Contact information

Main Address

Colbert, WA

Mailing Address

Phone number

(719) 649-9613

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

James H. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harris Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUND ADVISORY SERVICES INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/1997

Series 7

Date: 9/22/1997

Series 6

Date: 4/14/1989

Current Firm

SOUND ADVISORY SERVICES INC.

Contact information

Documents

Red Flags

Company Information

SOUND ADVISORY SERVICES INC.

TRUST BUT VERIFY

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