Darlene Dottie Johnson
Professional Summary
Darlene Dottie Johnson was a registered financial advisor. Darlene was a previously registered financial professional and started their career in finance 1990 - 1995. Darlene had worked at 3 firms and has passed the Series 63, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
36 years registered in the securities industry
Current & Past Employments
Past
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
WELLS FARGO BROKERAGE CORPORATION | WELLS FARGO SECURITIES INC.
Contact Information
Established
California since 10/04/1972Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAGEN MACKENZIE GROUP, INC. | DIRECT OWNER | — |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/FINANCIAL OPERATIONS OFFICER & TREASURER | 1523151 |
| BRONSTEIN, GREGORY PHILLIP | SENIOR VICE PRESIDENT & DIRECTOR | 2276699 |
| DAGGS, CHARLES WILLARD III | DIRECTOR | 59782 |
| FREEMAN, SHELLEY STEUER | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1262649 |
| KAUFMAN, LEAH MARIE | SROP | 2221956 |
| MOORADIAN, DENNIS JACK | CHAIRMAN, PRESIDENT, CHIEF OPERATIONS OFFICER, DIRECTOR, & MUNICIPAL SECURITIES PRINCIPAL | 338698 |
| ROSS, PATRICIA ANN | SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, CROP | 717926 |
Disclosures
Regulatory Event
4Arbitration
11Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
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.
The advisor shows no other business activity.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
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 Aug 1990About the Series 6 examSimilar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC