AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SJ

Sheila A. Johnston

Some features on this profile are disabled
CRD#: 2521161
SJ

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.

Sheila Ann Johnston, CFP® was a registered financial professional .

Sheila is a previously registered financial professional and started their career in finance in 1994. Sheila had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1) I HAVE BEEN EMPLOYED BY THE UNIVERSITY OF LOUISVILLE AS AN INSTRUCTOR OF ACCOUNTANCY SINCE JANUARY 1991. THIS IS NOT INVESTMENT RELATED. THE ADDRESS IS: UNIVERSITY OF LOUISVILLE, LOUISVILLE, KY 40292. I WORK APPROXIMATELY 15 HOURS A WEEK DURING NORMAL TRADING HOURS AND SPEND APPROXIMATELY 25 HOURS ON THE BUSINESS DURING NON TRADING HOURS. 2) I AM A CERTIFIED PUBLIC ACCOUNTANT. SINCE JANUARY 1991, I PREPARE TAX RETURNS DURING TAX SEASON AS A SOLE PROPRIETOR. THE SOLE PROPRIETORSHIP IS NOT INVESTMENT RELATED. THE ADDRESS IS: 8807 PENNSYLVANIA RUN ROAD, LOUISVILLE, KY 40228. I WORK APPROXIMATELY 8 HOURS A WEEK DURING TAX SEASON ON THE WEEKENDS AND GENERALLY NO TIME IS SPENT DURING NORMAL TRADING HOURS. 3) I CURRENTLY OWN RESIDENTIAL RENTAL PROPERTY THAT I HAVE RENTED AS A SOLE PROPRIETORSHIP SINCE NOVEMBER 2002. THE PROPRIETORSHIP IS NOT INVESTMENT RELATED. I WORK APPROXIMATELY 2 HOURS A WEEK DURING NON TRADING HOURS. 4) I HAVE BEEN EMPLOYED WITH RIGGS CAPITAL MANAGEMENT, LLC AS AN INVESTMENT ADVISORY REPRESENTATIVE SINCE APRIL 2008. THIS IS INVESTMENT RELATED. THE ADDRESS IS: 5132 N. 300 W. #260, Provo, UT 84604. I WORK APPROXIMATELY 10 HOURS A WEEK DURING NORMAL TRADING HOURS. 5)Johnston Family Farm LLC; Non-Investment related; 1749 Big Windy Road, Cub Run, KY 42729; Partner, Ownership of 25% of the Johnston Family Farm, LLC.; 09/2018; 0 during trading hours; Prepare the tax return for the LLC.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

July 3, 2017 - October 30, 2019

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
Louisville, KY
Past

September 3, 2013 - July 27, 2016

TRIAD ADVISORS LLC

BD
CRD#: 25803
ATLANTA, GA
Past

April 29, 2008 - February 5, 2025

RIGGS CAPITAL MANAGEMENT, LLC

RIA
CRD#: 120253
LOUISVILLE, KY
Past

November 1, 2005 - May 22, 2008

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
LOUISVILLE, KY
Past

February 23, 2005 - May 22, 2008

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
LOUISVILLE, KY
Past

May 14, 2001 - February 24, 2005

QA3 FINANCIAL LLC

RIA
CRD#: 104957
LOUISVILLE, KY
Past

May 10, 2001 - February 24, 2005

EQUITY RESOURCES, LLC

RIA
CRD#: 113103
LOUISVILLE, KY
Past

February 14, 2001 - February 24, 2005

QA3 FINANCIAL CORP.

BD
CRD#: 14754
OMAHA, NE
Past

January 31, 1997 - February 13, 2001

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

September 6, 1994 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
ATLANTA, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/3/2013
General Securities Representative Examination

Current Firm

DI
DFPG INVESTMENTS, LLC
1031 CAPITAL SOLUTIONS | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SUMMIT GROUP WEALTH ADVISORS | SERRATELLI FINANCIAL GROUP | SENTINELROCK WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PARKVIEW WEALTH ADVISORS | OXFORD FINANCIAL GROUP | NUCLEUS FINANCIAL GROUP | MARCH | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | HULSEY FINANCIAL | GROVE WEALTH ADVISORS | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES | DIVERSIFY ADVISOR NETWORK | DFPG INVESTMENTS, LLC | DFPG INVESTMENTS, INC. | DFPG INSURANCE, INC. | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BRENT REED FINANCIAL SERVICES | ASHLAND PACIFIC

CRD#: 155576 / SEC#: 801-107896, 8-68730

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Mailing Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Phone number
(801) 838-9999
Established
Utah since 10/12/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
20

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DFPG FORM ADV PART 2A (3/29/2024)
DIVERSIFY ADVISORY SERVICES FORM ADV PART 2A (3/29/2024)
DFPG FORM ADV PART 2A_03.28.2023 (3/29/2024)

Direct owners and executive officers

NamePositionCRD#
FALCON PARK CAPITAL, LLCLIMITED LIABILITY COMPANY
ANDERSON, JOHN BRADLEYCHIEF COMPLIANCE OFFICER6037308
BADALAMENTI, CHARLES RICHARDFINOP2065038
BENDIX, MICHAEL ALLANCEO5379777
LAGA, DAVID RYANCFO & COO4919873
SMITH, RYAN OMERPRESIDENT4340304

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.

Company Information

DFPG INVESTMENTS, LLC

CRD#: 155576

TRUST BUT VERIFY

Monitor Sheila Johnston

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics