Samuel P. Johnson

JOHNSON STERLING

Birmingham, AL 35209

Some features on this profile are disabled

CRD#: 260261

Professional summary

Samuel Paul Johnson is a registered financial advisor currently at JOHNSON STERLING, INC. located in Birmingham, Alabama.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. Samuel has worked at 8 firms and has passed the Series 65, Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

JOHNSON STERLING INC - OWNER/SOLE PROPRIETOR; 820 SHADES CREEK KWY STE 3200 BIRMINGHAM, AL; REGISTERED INVESTMENT ADVISOR; INVESTMENT RELATED; 90% OF TIME DEVOTED TO BUSINESS JOHNSON STERLING CONSULTING INC - OWNER/SOLE PROPRIETOR; 820 SHADES CREEK PARKWAY STE 3200 BIRMINGHAM, AL; INSURANCE CONSULTING; INVESTMENT RELATED; 10% OF TIME DEVOTED TO BUSINESS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Paul 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

October 13, 1995 - Present

JOHNSON STERLING, INC.

Office #1: 820 Shades Creek Parkway Suite 3200, Birmingham, AL 35209Office #2: 820 Shades Creek Parkway Suite 3200, Birmingham, AL 35209

RIA

CRD#: 106379

Birmingham, AL

Past

October 21, 2005 - September 27, 2006

JOHNSON STERLING PAUL RETIREMENT SERVICES, INC.

RIA

CRD#: 136743

BIRMINGHAM, AL

Past

September 4, 2000 - October 15, 2009

NBC SECURITIES, INC.

CRD#: 17870

BIRMINGHAM, AL

Past

May 26, 1994 - September 6, 2000

BALIS LEWITTES & COLEMAN, INC.

CRD#: 33345

NEW YORK, NY

Past

May 10, 1983 - January 27, 1994

BALIS & ZORN INC.

CRD#: 7711

NEW YORK, NY

Past

February 22, 1983 - March 10, 1992

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

February 28, 1978 - August 19, 1985

VP DISTRIBUTORS LLC

CRD#: 3036

Past

August 8, 1973 - June 3, 1976

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

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".

JOHNSON STERLING, INC.

JOHNSON STERLING ASSET MANAGEMENT | JOHNSON STERLING, INC. | JOHNSON STERLING RETIREMENT SERVICES | JOHNSON STERLING PAUL SECURITIES INC

CRD#: 106379 / SEC#: 801-49811

RIA

Registered Investment Advisory firm - (9/5/1995 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(10/13/1995)

IAR

Louisiana
(3/26/2003)

IAR

Texas
(3/25/2003)

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 65

Date: 6/6/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/16/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 7/21/1973

Registered Representative Examination

Current Firm

JOHNSON STERLING, INC.

JOHNSON STERLING ASSET MANAGEMENT | JOHNSON STERLING, INC. | JOHNSON STERLING RETIREMENT SERVICES | JOHNSON STERLING PAUL SECURITIES INC

CRD#: 106379 / SEC#: 801-49811

RIA

Registered Investment Advisory firm - (9/5/1995 Approved)

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

820 Shades Creek Parkway Suite 3200, Birmingham, AL 35209

Mailing Address

Phone number

(205) 871-9940

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II - 2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	388
AUM (Assets Under Management)	$ 3,337,550,034

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.

Similar Advisors

Martin Wheeler

OSAIC WEALTH, INC.

IAR

Birmingham, AL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Samuel P. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Paul Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHNSON STERLING PAUL RETIREMENT SERVICES, INC.

NBC SECURITIES, INC.

BALIS LEWITTES & COLEMAN, INC.

BALIS & ZORN INC.

TOWER SQUARE SECURITIES, INC.

VP DISTRIBUTORS LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

JOHNSON STERLING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/1996

Series 63

Date: 2/16/1987

Series 1

Date: 7/21/1973

Current Firm

JOHNSON STERLING, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOHNSON STERLING, INC.

TRUST BUT VERIFY

Similar Advisors