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SJ

Steven E. Johnson

FIS BROKERAGE & SECURITIES SERVICES LLC
Bolingbrook, IL 60440
Some features on this profile are disabled
CRD#: 2613782
SJ

Professional summary

Steven Edward Johnson, who also goes by Steve Johnson, is a registered financial professional currently at FIS BROKERAGE & SECURITIES SERVICES LLC located in Bolingbrook, Illinois.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2006. Steven has worked at 3 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Johnson

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 Steven Edward Johnson's 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

January 2, 2014 - Present

FIS BROKERAGE & SECURITIES SERVICES LLC

Office #1: 270 Remington Blvd. Suite A, Bolingbrook, IL 60440
BD
CRD#: 104162
Bolingbrook, IL
Past

August 14, 2007 - December 31, 2013

SUNGARD INSTITUTIONAL BROKERAGE INC.

BD
CRD#: 8509
GENEVA, IL
Past

April 20, 2006 - October 31, 2006

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ

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
California
(8/18/2025)
RR
Florida
(1/27/2023)
RR
Illinois
(1/2/2014)
RR
Indiana
(1/27/2023)
RR
Nevada
(7/2/2024)
RR
Tennessee
(12/23/2024)
RR
Texas
(10/30/2023)
RR
Wisconsin
(1/27/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/6/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/1/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FB
FIS BROKERAGE & SECURITIES SERVICES LLC
ANDOVER CAPITAL PARTNERS LLC | SUNGARD BROKERAGE & SECURITIES SERVICES, LLC | SUNGARD BROKERAGE & SECURITIES SERVICES LLC | PRESCIENT SECURITIES, LLC | FIS BROKERAGE & SECURITIES SERVICES LLC | ASSENT LLC

CRD#: 104162 / SEC#: , 8-52614

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

Main Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Mailing Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Phone number
(630) 482-7300
Established
Delaware since 02/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FIS CAPITAL MARKETS US LLCSOLE MEMBER
DAMIS, JENEL CARIMACHIEF COMPLIANCE OFFICER3261583
HECKER, STEVEN MICHAELFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER3088510
PETERS, DAVID TODDBOARD MEMBER, ASSISTANT SECRETARY7798286
VOGEL, MICHAEL FRANCISCHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY2814935

Disclosures

Regulatory Event23

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

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162Bolingbrook, IL 60440

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