Dennis M. Johnson

INSURANCE & WEALTH ADVISORS.

COOLIDGE, AZ

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CRD#: 2370640

Professional summary

Dennis Michael Johnson is a registered financial advisor currently at INSURANCE & WEALTH ADVISORS, LLC. located in Coolidge, Arizona.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Dennis has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 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.

LOCAL INSURANCE ADVISORS, MEDICARE HEALTH INSURANCE, I AM AN INDEPENDENT AGENT, 03/2018, 15- 20 HRS A WEEK, 0 HRS. DURING INVESTMENT TRADING HRS. ENROLL ELIGIBLE PERSONS INTO HEALTH INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Michael 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

April 9, 2019 - Present

INSURANCE & WEALTH ADVISORS, LLC.

RIA

CRD#: 301528

COOLIDGE, AZ

Past

January 11, 2019 - April 15, 2019

TREE LINE CAPITAL, LLC

RIA

CRD#: 282456

OKLAHOMA CITY, OK

Past

February 15, 2018 - December 31, 2018

TREE LINE CAPITAL, LLC

RIA

CRD#: 282456

OKLAHOMA CITY, OK

Past

January 4, 2017 - December 31, 2017

TREE LINE CAPITAL, LLC

RIA

CRD#: 282456

OKLAHOMA CITY, OK

Past

February 27, 2012 - December 31, 2016

WFG ADVISORS, LP

RIA

CRD#: 125073

EDMOND, OK

Past

September 29, 2011 - December 31, 2016

WFG INVESTMENTS, INC.

CRD#: 22704

Edmond, OK

Past

August 3, 2009 - September 29, 2011

FOOTHILL SECURITIES, INC.

CRD#: 1027

PHOENIX, AZ

Past

August 1, 2003 - September 29, 2011

CUE FINANCIAL GROUP, INC.

RIA

CRD#: 21033

PHOENIX, AZ

Past

July 23, 2003 - August 3, 2009

CUE FINANCIAL GROUP, INC.

CRD#: 21033

PHOENIX, AZ

Past

December 3, 2001 - July 23, 2003

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

HOLBROOK, NY

Past

November 9, 1998 - December 6, 2001

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

July 31, 1995 - November 4, 1998

FOX & COMPANY INVESTMENTS INC.

CRD#: 18517

SCOTTSDALE, AZ

Past

July 1, 1994 - August 15, 1995

JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949

BOCA RATON, FL

Past

July 23, 1993 - December 9, 1993

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

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

Arizona
(6/12/2020)

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 65

Date: 1/14/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/1995

General Securities Principal Examination

Current Firm

INSURANCE & WEALTH ADVISORS, LLC.

CRD#: 301528 / SEC#:

Arizona

Registered Investment Advisory firm - (6/12/2020 Approved)

Oklahoma

Registered Investment Advisory firm - (12/3/2020 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).

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Contact information

Main Address

Coolidge, AZ

Mailing Address

Phone number

(602) 999-5796

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 2,000,000

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

Dennis M. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Michael Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

TREE LINE CAPITAL, LLC

TREE LINE CAPITAL, LLC

TREE LINE CAPITAL, LLC

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

FOOTHILL SECURITIES, INC.

CUE FINANCIAL GROUP, INC.

CUE FINANCIAL GROUP, INC.

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

NATHAN & LEWIS SECURITIES, INC.

FOX & COMPANY INVESTMENTS INC.

JOSEPH CHARLES & ASSOC., INC.

QUEST CAPITAL STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/1999

Series 63

Date: 7/5/1994

SIE

Date: 12/31/2016

Series 7

Date: 7/22/1993

Series 24

Date: 12/15/1995

Current Firm

INSURANCE & WEALTH ADVISORS, LLC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INSURANCE & WEALTH ADVISORS, LLC.

TRUST BUT VERIFY

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