Stephen R. Johnson

GARTH & BROWN INVESTMENT MANAGEMENT

Chattanooga, TN 37402-2613

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CRD#: 2277971

Professional summary

Stephen Rex Johnson is a registered financial advisor currently at GARTH & BROWN INVESTMENT MANAGEMENT, LLC located in Chattanooga, Tennessee and BROWN ASSOCIATES, INC. located in Chattanooga, Tennessee.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Stephen Rex Johnson's 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

February 16, 2010 - Present

GARTH & BROWN INVESTMENT MANAGEMENT, LLC

Office #1: 819 Broad Street, Chattanooga, TN 37402-2613

RIA

CRD#: 151128

Chattanooga, TN

Current

February 16, 2010 - Present

BROWN ASSOCIATES, INC.

Office #1: 819 Broad Street, Chattanooga, TN 37402-2613

CRD#: 5049

Chattanooga, TN

Past

September 3, 2008 - March 3, 2010

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

CHATTANOOGA, TN

Past

September 2, 2008 - March 3, 2010

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

CHATTANOOGA, TN

Past

April 17, 2007 - August 8, 2008

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

November 21, 2005 - March 1, 2007

JANUS HENDERSON INVESTORS

RIA

CRD#: 107300

SIGNAL MOUNTAIN, TN

Past

October 11, 2005 - March 1, 2007

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

June 7, 2002 - April 13, 2005

AIM PRIVATE ASSET MANAGEMENT

RIA

CRD#: 109264

HOUSTON, TX

Past

October 13, 1992 - April 13, 2005

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Georgia
(2/16/2010)

IAR

Georgia
(11/5/2014)

Tennessee
(2/16/2010)

IAR

Tennessee
(2/16/2010)

Texas
(2/16/2010)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/3/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/8/1992

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: 10/28/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/1/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/18/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GARTH & BROWN INVESTMENT MANAGEMENT, LLC

CRD#: 151128 / SEC#:

Georgia

Registered Investment Advisory firm - (11/30/2010 Approved)

Tennessee

Registered Investment Advisory firm - (8/18/2009 Approved)

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Contact information

Main Address

819 Broad Street, Chattanooga, TN 37402-2613

Mailing Address

Phone number

(423) 267-3776

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 15,310,143

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Stephen R. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Rex Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROWN ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

EQUITABLE DISTRIBUTORS, LLC

JANUS HENDERSON INVESTORS

FORESIDE FUND SERVICES, LLC

AIM PRIVATE ASSET MANAGEMENT

INVESCO DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/3/2002

Series 63

Date: 10/8/1992

SIE

Date: 10/1/2018

Series 7

Date: 10/28/1994

Series 6

Date: 10/1/1992

Series 24

Date: 3/18/2024

FINRA

Current Firm

GARTH & BROWN INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GARTH & BROWN INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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