Nannette 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.
Nannette Johnson, who also goes by Nannette Johnson Duffey, Nannette Duffey, Nannette Johnson Johnson, was a registered financial professional .
Nannette is a previously registered financial professional and started their career in finance in 1994. Nannette had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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
January 4, 2018 - May 2, 2019
FAMILYWEALTH ASSET MANAGEMENT
March 7, 2017 - December 31, 2017
FAMILYWEALTH ASSET MANAGEMENT
June 10, 2014 - August 18, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 2014 - August 18, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 2011 - January 13, 2014
USAA FINANCIAL PLANNING SERVICES
March 30, 2011 - January 13, 2014
USAA FINANCIAL ADVISORS, INC.
April 5, 2010 - October 20, 2010
VALIC FINANCIAL ADVISORS, INC.
June 10, 1998 - September 5, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 18, 1994 - April 16, 1998
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
Primary Firm SEC Registration
FAMILYWEALTH ASSET MANAGEMENT
CRD#: 147869 / SEC#: 801-69660
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
FAMILYWEALTH ASSET MANAGEMENT
CRD#: 147869 / SEC#: 801-69660
Contact information
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 741 |
| AUM (Assets Under Management) | $ 180,860,558 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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