Albert L. Johnson
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.
Albert L Johnson, who also goes by Al Johnson, Albert Loyd Johnson, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1997. Albert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2023 - June 16, 2024
JANNEY MONTGOMERY SCOTT LLC
April 5, 2023 - June 16, 2024
JANNEY MONTGOMERY SCOTT LLC
August 15, 2018 - May 13, 2022
CADARET, GRANT & CO., INC.
August 15, 2018 - May 13, 2022
CADARET, GRANT & CO., INC.
February 25, 2014 - January 19, 2018
VALIC FINANCIAL ADVISORS, INC.
January 22, 2014 - May 2, 2016
WOODBURY FINANCIAL SERVICES, INC.
October 16, 2013 - January 19, 2018
VALIC FINANCIAL ADVISORS, INC.
May 13, 2010 - May 2, 2016
WOODBURY FINANCIAL SERVICES, INC.
March 9, 2007 - April 27, 2010
CETERA WEALTH SERVICES, LLC
April 12, 2006 - April 27, 2010
CETERA WEALTH SERVICES, LLC
October 28, 2004 - April 13, 2006
1717 CAPITAL MANAGEMENT COMPANY
November 21, 2003 - September 1, 2005
1717 CAPITAL MANAGEMENT COMPANY
June 25, 2003 - July 11, 2003
1717 CAPITAL MANAGEMENT COMPANY
November 19, 2001 - March 21, 2006
NATIONWIDE SECURITIES, LLC
July 13, 2001 - September 19, 2001
HUNTINGTON CAPITAL CORP.
July 11, 2000 - September 24, 2001
THE HUNTINGTON INVESTMENT COMPANY
July 28, 1997 - June 15, 2000
ESSEX NATIONAL SECURITIES, LLC
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
