Anthony R. Johnson

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CRD#: 2712955

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.

Anthony Robert Johnson, who also goes by Anthony R Johnson, Anthony Robert Johnson, Tony Johnson, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1996. Anthony had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Anthony R Johnson | Anthony Robert Johnson | Tony 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.

Currently a Field Representative of Guardian Life and Park Avenue Securities. Receive commission on Life and Disability sales along with AUM assets at SEI trust through Park Avenue Securities

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

August 7, 2018 - April 24, 2025

ROSSJOHNSON & ASSOCIATES, LLC

RIA

CRD#: 297583

PLYMOUTH, MN

Past

April 16, 2009 - December 14, 2009

WISCONSIN FINANCIAL ADVISORS, LLC

RIA

CRD#: 149220

MADISON, WI

Past

January 8, 2003 - August 9, 2018

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

PLYMOUTH, MN

Past

May 3, 1999 - August 9, 2018

PARK AVENUE SECURITIES LLC

CRD#: 46173

PLYMOUTH, MN

Past

September 16, 1997 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

April 19, 1996 - July 3, 1997

DOUGHERTY DAWKINS LLC

CRD#: 7442

MINNEAPOLIS, MN

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".

ROSSJOHNSON & ASSOCIATES, LLC

CRD#: 297583 / SEC#: 801-118296

RIA

Registered Investment Advisory firm - (3/24/2020 Approved)

Michigan

Registered Investment Advisory firm - (1/3/2020 Terminated)

Minnesota

Registered Investment Advisory firm - (3/27/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/26/2020 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: 9/17/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/18/1996

General Securities Representative Examination

Current Firm

ROSSJOHNSON & ASSOCIATES, LLC

CRD#: 297583 / SEC#: 801-118296

RIA

Registered Investment Advisory firm - (3/24/2020 Approved)

Michigan

Registered Investment Advisory firm - (1/3/2020 Terminated)

Minnesota

Registered Investment Advisory firm - (3/27/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/26/2020 Terminated)

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Contact information

Main Address

3380 Annapolis Lane N B-100, Plymouth, MN 55447

Mailing Address

Phone number

(763) 560-2127

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

PART 2A BROCHURE ROSSJOHNSON & ASSOCIATES, LLC (4/24/2025)

Regulatory assets under management

Total Number of Accounts	566
AUM (Assets Under Management)	$ 170,415,282

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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Advisor Monitoring

Firm Stability Insights

Anthony R. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WISCONSIN FINANCIAL ADVISORS, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

DOUGHERTY DAWKINS LLC

Primary Firm SEC Registration

ROSSJOHNSON & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/17/2002

Series 63

Date: 6/5/1996

SIE

Date: 8/9/2018

Series 7

Date: 4/18/1996

Current Firm

ROSSJOHNSON & ASSOCIATES, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROSSJOHNSON & ASSOCIATES, LLC

TRUST BUT VERIFY

Contact information

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