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Douglas Wayne Johnson

CRD# 2727342·Registered 1996 - 2012
Previously Registered: Being a previously registered professional could mean that Douglas 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.

Professional Summary

Douglas Wayne Johnson, who also goes by Doug Johnson, was a registered financial advisor. Douglas was a previously registered financial professional and started their career in finance 1996 - 2012. Douglas had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 8 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Doug Johnson

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

30 years in the financial services industry

Current & Past Employments

EVERENCE TRUST COMPANY·CRD# 113179
RIA
Fort Collins, CO
July 15, 2011 - April 9, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.·CRD# 15708
RIA
Fort Collins, CO
April 21, 2011 - December 31, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.·CRD# 15708
BD
Fort Collins, CO
April 4, 2011 - December 31, 2011
CETERA INVESTMENT SERVICES LLC·CRD# 15340
RIA
Ft. Collins, CO
November 5, 2004 - February 16, 2005
CETERA INVESTMENT SERVICES LLC·CRD# 15340
BD
St. Cloud, MN
November 5, 2004 - February 16, 2005
CHARLES SCHWAB & CO., INC.·CRD# 5393
RIA
Boulder, CO
July 25, 2002 - November 9, 2004
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
San Francisco, CA
February 24, 1999 - November 9, 2004
NYLIFE SECURITIES LLC·CRD# 5167
BD
New York, NY
January 22, 1999 - February 5, 1999
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
June 21, 1996 - December 7, 1998

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Current Firm

ET
EVERENCE TRUST COMPANY

EVERENCE TRUST COMPANY | MMA TRUST COMPANY

CRD#: 113179 / SEC#: 801-60293

Contact Information

Main Address

1110 North Main Street, Goshen, IN 46528

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (3/28/2019)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Apr 2011About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 2011About the Series 7 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Apr 1998

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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