Katherine Ann Johnson
Professional Summary
Katherine Ann Johnson, who also goes by Kate Johnson, Katherine Ann Mohrman, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Casper, Wyoming. Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Katherine has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Katherine Ann Johnson, Kate Johnson, Katherine Ann Mohrman
Similar Advisors
LPL FINANCIAL LLC
ONEDIGITAL
LPL FINANCIAL LLC
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
ONEDIGITAL
LPL FINANCIAL LLC
LPL FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
ONEDIGITAL
LPL FINANCIAL LLC
LPL FINANCIAL LLC
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.
Similar Advisors
LPL FINANCIAL LLC
ONEDIGITAL
LPL FINANCIAL LLC
LPL FINANCIAL LLC
Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
ONEDIGITAL
LPL FINANCIAL LLC
LPL FINANCIAL LLC
Current Firm
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET INVESTMENT PARTNERS | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | DAY HAGAN ASSET MANAGEMENT | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
Contact Information
Main Address
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260Phone Number
(602) 732-4745# of Employees
93SEC notice filing (37 States and Territories)
Registered to provide investment advisory services in 37 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
7,879AUM (Assets Under Management)
$6,009,474,500Similar Advisors
LPL FINANCIAL LLC
ONEDIGITAL
LPL FINANCIAL LLC
LPL FINANCIAL LLC
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.
Similar Advisors
LPL FINANCIAL LLC
ONEDIGITAL
LPL FINANCIAL LLC
LPL FINANCIAL LLC
Primary Firm SEC Registration
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET INVESTMENT PARTNERS | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | DAY HAGAN ASSET MANAGEMENT | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
State Registrations and Notice Filings
(5/20/2021)
(5/21/2021)
(12/1/2023)
(8/31/2023)
(12/4/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1997About the Series 6 examSimilar Advisors
LPL FINANCIAL LLC
ONEDIGITAL
LPL FINANCIAL LLC
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Ann Johnson's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
ONEDIGITAL
LPL FINANCIAL LLC
LPL FINANCIAL LLC