Roy A. Johnson

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CRD#: 2009823

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.

Roy Allen Johnson, who also goes by Al Johnson, was a registered financial professional .

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

Question & Answer

Are you a "fiduciary"?

Aliases

Al 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

March 18, 2014 - December 31, 2019

CREATIVE FINANCIAL DESIGNS, INC.

RIA

CRD#: 109032

WALTON, KY

Past

March 18, 2014 - December 31, 2019

CFD INVESTMENTS, INC.

CRD#: 25427

WALTON, KY

Past

January 30, 2009 - March 19, 2014

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

WALTON, KY

Past

January 30, 2009 - March 19, 2014

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

WALTON, KY

Past

April 8, 2004 - February 23, 2009

SII INVESTMENTS, INC.

RIA

CRD#: 2225

FLORENCE, KY

Past

April 8, 2004 - February 23, 2009

SII INVESTMENTS, INC.

CRD#: 2225

FLORENCE, KY

Past

May 31, 2000 - April 12, 2004

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

FLORENCE, KY

Past

October 23, 1992 - April 12, 2004

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

December 20, 1989 - October 13, 1992

EQUITY PROGRAMS CORPORATION

CRD#: 6100

SAN DIEGO, CA

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".

CREATIVE FINANCIAL DESIGNS, INC.

CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.

CRD#: 109032 / SEC#: 801-60153

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

California

Registered Investment Advisory firm - (4/20/2001 Terminated)

Florida

Registered Investment Advisory firm - (4/19/2001 Terminated)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Iowa

Registered Investment Advisory firm - (5/20/2002 Terminated)

Kentucky

Registered Investment Advisory firm - (4/19/2001 Terminated)

Maryland

Registered Investment Advisory firm - (5/20/2002 Terminated)

Michigan

Registered Investment Advisory firm - (12/11/2001 Terminated)

Missouri

Registered Investment Advisory firm - (4/19/2001 Terminated)

New Jersey

Registered Investment Advisory firm - (4/19/2001 Terminated)

North Carolina

Registered Investment Advisory firm - (12/19/2006 Terminated)

Ohio

Registered Investment Advisory firm - (4/19/2001 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

Series 63

Date: 5/7/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/5/1993

General Securities Principal Examination

Current Firm

CREATIVE FINANCIAL DESIGNS, INC.

CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.

CRD#: 109032 / SEC#: 801-60153

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

California

Registered Investment Advisory firm - (4/20/2001 Terminated)

Florida

Registered Investment Advisory firm - (4/19/2001 Terminated)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Iowa

Registered Investment Advisory firm - (5/20/2002 Terminated)

Kentucky

Registered Investment Advisory firm - (4/19/2001 Terminated)

Maryland

Registered Investment Advisory firm - (5/20/2002 Terminated)

Michigan

Registered Investment Advisory firm - (12/11/2001 Terminated)

Missouri

Registered Investment Advisory firm - (4/19/2001 Terminated)

New Jersey

Registered Investment Advisory firm - (4/19/2001 Terminated)

North Carolina

Registered Investment Advisory firm - (12/19/2006 Terminated)

Ohio

Registered Investment Advisory firm - (4/19/2001 Terminated)

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Contact information

Main Address

2704 S Goyer Rd, Kokomo, IN 46902

Mailing Address

P.o. Box # 2244, Kokomo, IN 46904-2244

Phone number

(765) 453-9600

Established

Firm type

Fiscal year end

# of Employees

150

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CPM (12/16/2025)

FORM ADV PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	14,029
AUM (Assets Under Management)	$ 2,478,773,967

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
01/05/2024	Cover Page	Report
01/10/2023	Cover Page	Report

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

Roy A. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CFD INVESTMENTS, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

EQUITY PROGRAMS CORPORATION

Primary Firm SEC Registration

CREATIVE FINANCIAL DESIGNS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/7/1991

SIE

Date: 10/1/2018

Series 7

Date: 12/16/1989

Series 24

Date: 2/5/1993

Current Firm

CREATIVE FINANCIAL DESIGNS, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CREATIVE FINANCIAL DESIGNS, INC.

TRUST BUT VERIFY

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