Lance J. Johnson

ROI FINANCIAL

Beaverton, OR 97003

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CRD#: 2244093

Professional summary

Lance Jarl Johnson, who also goes by Jarl Johnson, is a registered financial advisor currently at ROI FINANCIAL located in Beaverton, Oregon.

Lance is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Lance has worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jarl 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) - RIA

Click below to view Lance Jarl Johnson's CRS (Customer Relationship Summary).

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

June 8, 2012 - Present

ROI FINANCIAL

Office #1: 14675 Sw Millikan Way, Beaverton, OR 97003Office #2: 17355 S. W. Boones Ferry Road, Lake Oswego, OR 97035

RIA

CRD#: 160100

Beaverton, OR

Past

April 17, 2008 - November 15, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BEAVERTON, OR

Past

January 22, 1993 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 22, 1993 - November 15, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BEAVERTON, OR

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".

ROI FINANCIAL

CRD#: 160100 / SEC#: 801-121903

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

Oregon

Registered Investment Advisory firm - (10/4/2021 Terminated)

Washington

Registered Investment Advisory firm - (12/10/2021 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.

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

Oregon
(6/8/2012)

IAR

Texas
(3/23/2024)

IAR

Washington
(2/27/2015)

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: 5/2/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/20/1993

General Securities Representative Examination

Current Firm

ROI FINANCIAL

CRD#: 160100 / SEC#: 801-121903

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

Oregon

Registered Investment Advisory firm - (10/4/2021 Terminated)

Washington

Registered Investment Advisory firm - (12/10/2021 Terminated)

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Contact information

Main Address

14675 Sw Millikan Way, Beaverton, OR 97003

Mailing Address

Phone number

(503) 941-5925

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROI ADV 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	1,395
AUM (Assets Under Management)	$ 220,506,423

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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Lance J. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Jarl Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROI FINANCIAL

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ROI FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 5/2/2003

Series 63

Date: 1/29/1993

Series 7

Date: 1/20/1993

Current Firm

ROI FINANCIAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROI FINANCIAL

TRUST BUT VERIFY

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