Angie S. 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.
Angie S Johnson, who also goes by Angie Rashea Johnson, Angie Staton Johnson, Angie Johnson, Angie R Staton, was a registered financial professional .
Angie is a previously registered financial professional and started their career in finance in 1996. Angie had worked at 4 firms and has passed the Series 65 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2019 - December 31, 2020
UNITED CAPITAL FINANCIAL ADVISORS
October 1, 2012 - May 21, 2014
TRENT CAPITAL MANAGEMENT, INC.
January 28, 2006 - January 8, 2007
SIMMONS FIRST CAPITAL MANAGEMENT, INC.
September 16, 1996 - January 20, 2005
WASCHKA CAPITAL INVESTMENTS, INC.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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
Series 2
Date: 6/17/1996
Non-Member General Securities ExaminationCurrent Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
