Richard S. Johnson

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CRD#: 260104

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.

Richard Scott Johnson was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 13 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) PROGRESSIVE INSURANCE MARKETING POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1970 ADDRESS: 9911 Irvine Center Dr, Ste 100, Irvine CA 92618, United States DESCRIPTION: INSURANCE AGENT - PROGRESSIVE INSURANCE MARKETING . SELLS FIXED INSURANCE

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®

None

Experience

Past

July 15, 2015 - August 24, 2017

SPECTRUM WEALTH MANAGEMENT, LLC

RIA

CRD#: 135530

IRVINE, CA

Past

November 27, 2006 - December 23, 2024

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

IRVINE, CA

Past

November 22, 2006 - December 23, 2024

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

IRVINE, CA

Past

October 31, 2005 - December 20, 2006

OSAIC SERVICES, INC.

RIA

CRD#: 133763

LAGUNA HILLS, CA

Past

October 31, 2005 - December 20, 2006

OSAIC SERVICES, INC.

CRD#: 133763

LAGUNA HILLS, CA

Past

November 30, 1998 - October 31, 2005

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

LAGUNA HILLS, CA

Past

November 16, 1998 - October 31, 2005

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

July 30, 1996 - January 31, 1997

INTERVEST INTERNATIONAL EQUITIES CORPORATION

CRD#: 20289

COLORADO SPRINGS, CO

Past

June 3, 1996 - November 16, 1998

UNITED PACIFIC SECURITIES, INC.

CRD#: 21986

CARLSBAD, CA

Past

May 23, 1994 - June 19, 1996

INTERVEST INTERNATIONAL EQUITIES CORPORATION

CRD#: 20289

COLORADO SPRINGS, CO

Past

September 20, 1988 - May 23, 1994

PROGRAMMED EQUITIES CORPORATION

CRD#: 21778

Past

January 21, 1986 - June 30, 1988

PLANNED INVESTMENTS INC.

CRD#: 5066

Past

May 1, 1979 - March 6, 1986

USLIFE EQUITY SALES CORP.

CRD#: 7962

Past

February 1, 1974 - December 31, 1975

INVESTOGENIC SERVICES, INC.

CRD#: 4076

Past

August 13, 1971 - May 1, 1979

USLIFE EQUITY SALES CORP

CRD#: 6815

Past

March 17, 1971 - November 14, 1973

VANGUARD SECURITIES, INC.

CRD#: 851

Past

April 1, 1970 - March 24, 1971

MULTIVEST SECURITIES INC

CRD#: 1000001

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SPECTRUM WEALTH MANAGEMENT, LLC

SPECTRUM CAPITAL INVESTMENT GROUP, INC. | SPECTRUM WEALTH MANAGEMENT, LLC

CRD#: 135530 / SEC#: 801-113730

RIA

Registered Investment Advisory firm - (7/30/2018 Approved)

California

Registered Investment Advisory firm - (9/21/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/22/2018 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).

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.

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 66

Date: 11/19/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/27/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 3/26/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 51

Date: 10/1/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/12/1996

General Securities Principal Examination

Current Firm

SPECTRUM WEALTH MANAGEMENT, LLC

SPECTRUM CAPITAL INVESTMENT GROUP, INC. | SPECTRUM WEALTH MANAGEMENT, LLC

CRD#: 135530 / SEC#: 801-113730

RIA

Registered Investment Advisory firm - (7/30/2018 Approved)

California

Registered Investment Advisory firm - (9/21/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/22/2018 Terminated)

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Contact information

Main Address

9911 Irvine Center Drive Suite 150, Irvine, CA 92618

Mailing Address

Phone number

(949) 597-0101

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B (8/14/2025)

Regulatory assets under management

Total Number of Accounts	505
AUM (Assets Under Management)	$ 269,542,710

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Richard S. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

INTERVEST INTERNATIONAL EQUITIES CORPORATION

UNITED PACIFIC SECURITIES, INC.

INTERVEST INTERNATIONAL EQUITIES CORPORATION

PROGRAMMED EQUITIES CORPORATION

PLANNED INVESTMENTS INC.

USLIFE EQUITY SALES CORP.

INVESTOGENIC SERVICES, INC.

USLIFE EQUITY SALES CORP

VANGUARD SECURITIES, INC.

MULTIVEST SECURITIES INC

Primary Firm SEC Registration

SPECTRUM WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/19/2002

Series 63

Date: 5/27/1992

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 3/26/1970

Series 51

Date: 10/1/2003

Series 24

Date: 8/12/1996

Current Firm

SPECTRUM WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPECTRUM WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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