Susan M. Johnson
Professional summary
Susan Marie Johnson, who also goes by Susan M Johnson, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Aliso Viejo, California.
Susan is registered as a RR (Registered Representative) and started their career in finance in 1992. Susan has worked at 9 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Marie Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 5, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 120 Vantis Suite 400, Aliso Viejo, CA 92656January 3, 2007 - November 10, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
January 3, 2007 - December 20, 2024
MUTUAL OF AMERICA SECURITIES LLC
May 30, 2003 - May 17, 2006
EMPOWER FINANCIAL SERVICES, INC.
March 18, 1998 - January 2, 2003
MISSIONSQUARE INVESTMENT SERVICES
July 22, 1996 - January 12, 1998
MORGAN STANLEY DW INC.
October 28, 1994 - June 28, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 16, 1994 - September 30, 1994
CITIGROUP GLOBAL MARKETS INC.
September 30, 1992 - June 17, 1994
ADVEST, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/5/2025)
(5/5/2025)
Exams
FINRA
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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