Shad E. Johnson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Shad Everett Johnson was a registered financial professional .
Shad is a previously registered financial professional and started their career in finance in 1994. Shad had worked at 5 firms and has passed the Series 65 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2015 - December 31, 2024
MUELLER FINANCIAL SOLUTIONS CO.
March 4, 2009 - September 19, 2013
FINTEGRA, LLC
June 9, 2004 - January 4, 2006
MML INVESTORS SERVICES, LLC
March 24, 2003 - June 24, 2004
CETERA WEALTH SERVICES, LLC
May 6, 1994 - November 27, 2002
N.I.S. FINANCIAL SERVICES, 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
Exams
Current Firm
MUELLER FINANCIAL SOLUTIONS CO.
CRD#: 113432 / SEC#: 801-108659
Contact information
Regulatory assets under management
| Total Number of Accounts | 559 |
| AUM (Assets Under Management) | $ 155,656,052 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/13/2024 | ||
| 11/10/2023 | ||
| 12/06/2022 |
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.
