Bryan N. Johnson

LPL ENTERPRISE

LITTLETON, CO 80120

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CRD#: 2725555

Professional summary

Bryan Nelson Johnson, CFP® is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Littleton, Colorado.

Bryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Bryan has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

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. 09/10/2024- ROCKY MOUNTAIN SOLUTIONS, LLC-Off Ins & Fin Srvs~6025 Applewood Ridge Circle, Colorado Springs, CO 80918~Ins & Fin'l Services~Y~Owner~09/2016~20 hrs/mo~20 trading hrs/mo 2. 09/03/2024- RMS LLC- serve papers- not inv related - 06/04/2018- 1 hr/mo non trading- 0 hr/mo trading ADDRESS: 6025 APPLEWOOD RIDGE CIR, COLORADO SPRINGS CO 80918, United States DESCRIPTION: Private Investigations

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bryan Nelson Johnson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Bryan Nelson 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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 8191 Southpark Lane Suite 204, Littleton, CO 80120

RIA

CRD#: 8733

LITTLETON, CO

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 8191 Southpark Lane Suite 204, Littleton, CO 80120

RIA

CRD#: 8733

LITTLETON, CO

Past

January 27, 1999 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Colorado Springs, CO

Past

April 2, 1996 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Colorado Springs, CO

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.

IAR

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

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

Arizona
(11/14/2024)

California
(1/16/2025)

Colorado
(11/14/2024)

IAR

Colorado
(11/14/2024)

Delaware
(11/14/2024)

District of Columbia
(11/14/2024)

Florida
(1/2/2025)

Georgia
(7/16/2025)

Kansas
(5/8/2025)

Maryland
(11/14/2024)

Minnesota
(11/14/2024)

Nebraska
(1/2/2025)

New Jersey
(1/2/2025)

New York
(11/14/2024)

North Carolina
(5/8/2025)

Ohio
(5/8/2025)

Oklahoma
(10/27/2025)

IAR

Oklahoma
(12/17/2025)

Oregon
(11/14/2024)

Pennsylvania
(5/8/2025)

South Carolina
(11/14/2024)

Virginia
(11/14/2024)

Washington
(1/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 8/4/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 8/27/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 2/11/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 4/1/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 12/21/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

5,215

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (7/1/2026)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
EVANGELIOU, KIRIAKOS ANDREAS	SVP, CHIEF COMPLIANCE OFFICER	2496177
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742

Regulatory assets under management

Total Number of Accounts	139,192
AUM (Assets Under Management)	$ 24,939,385,373

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2026	Cover Page	Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Bryan N. Johnson

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bryan Nelson Johnson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Bryan Nelson Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Passed: 8/4/1998

Series 63

Passed: 8/27/1996

SIE

Passed: 10/1/2018

Series 7

Passed: 2/11/1999

Series 6

Passed: 4/1/1996

Series 24

Passed: 12/21/2000

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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