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PJ

Patricia L. Johnson

AEI SECURITIES
St. Paul, MN 55101
Some features on this profile are disabled
CRD#: 259984
PJ

Professional summary


Patricia Lee Johnson is a registered financial professional currently at AEI SECURITIES, INC. located in St. Paul, Minnesota.

Patricia is registered as a RR (Registered Representative) and started their career in finance in 1973. Patricia has worked at 1 firm and has passed the Series 99TO, Series 7TO, SIE, Series 24 and Series 00 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.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Patricia Lee Johnson's CRS (Customer Relationship Summary).
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

June 1, 1973 - Present

AEI SECURITIES, INC.

Office #1: 1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101Office #2: 1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901
BD
CRD#: 6158
St. Paul, MN

State Registrations and Notice Filings


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

RR
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

RR
Minnesota
(8/14/1982)

Exams


General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 5/24/1973
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm


AS
AEI SECURITIES, INC.
AEI INCORPORATED | AEI SECURITIES, INC.

CRD#: 6158 / SEC#: , 8-16750

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information


Main Address
1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901
Mailing Address
1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901
Phone number
(651) 227-7333
Established
Minnesota since 02/03/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)


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

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
AEI CAPITAL CORPORATIONHOLDING COMPANY
HERSTAD, THOMAS DAVIDCCO AND PRINCIPAL OPERATIONS OFFICER2386336
NYGARD, MARNI JOCEO AND PRESIDENT6333193
PETERSEN, KEITH ERNESTPRINCIPAL FINANCIAL OFFICER, CFO, SECRETARY AND TREASURER6747299

Disclosures


Regulatory Event3
Civil Event1

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


AEI SECURITIES, INC.

CRD#: 6158St. Paul, MN 55101

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