Steven Craig Johnson
Professional Summary
Steven Craig Johnson, who also goes by Steven C Johnson, is a registered financial advisor currently at FINIVI INC. located in Westborough, Massachusetts. Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Steven has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Steven Craig Johnson, Steven C Johnson
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures on record.
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Years of Experience
36 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ASPENCROSS WEALTH MANAGEMENT, INC. | SEBASTIAN ADVISORS, INC. | FINIVI INC.
Contact Information
Main Address
1400 Computer Drive, Westborough, MA 01581Phone Number
(508) 870-0440# of Employees
10SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,293AUM (Assets Under Management)
$308,429,675Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ASPENCROSS WEALTH MANAGEMENT, INC. | SEBASTIAN ADVISORS, INC. | FINIVI INC.
State Registrations and Notice Filings
(3/19/2018)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1990About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Steven Craig Johnson's CRS (Customer Relationship Summary).
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