Joseph A. Johnson

THE J.O. JOHNSON GROUP

Sykesville, MD 21784

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CRD#: 2889344

Professional summary

Joseph Anthony Johnson is a registered financial advisor currently at THE J.O. JOHNSON GROUP INC. located in Sykesville, Maryland.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Joseph has worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Johnson's 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®

None

Experience

Current

July 8, 2021 - Present

THE J.O. JOHNSON GROUP INC.

Office #1: 5662 French Ave, Sykesville, MD 21784

RIA

CRD#: 315115

Sykesville, MD

Past

February 27, 2018 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

FREDERICK, MD

Past

February 26, 2018 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FREDERICK, MD

Past

February 26, 2018 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

FREDERICK, MD

Past

April 7, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

July 10, 2015 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

FREDERICK, MD

Past

January 3, 2013 - October 21, 2013

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

POTOMAC, MD

Past

January 2, 2013 - October 21, 2013

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

POTOMAC, MD

Past

September 18, 2009 - January 6, 2011

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

LINTHICUM, MD

Past

September 9, 2009 - January 6, 2011

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

LINTHICUM, MD

Past

June 7, 2006 - August 31, 2009

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

RICHMOND, VA

Past

September 29, 2003 - August 31, 2009

TD AMERITRADE, INC.

RIA

CRD#: 7870

RICHMOND, VA

Past

June 23, 2003 - September 26, 2003

TD AMERITRADE, INC.

RIA

CRD#: 7870

RICHMOND, VA

Past

June 22, 1999 - August 31, 2009

TD AMERITRADE, INC.

CRD#: 7870

RICHMOND, VA

Past

June 26, 1998 - February 3, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 26, 1998 - February 3, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 30, 1997 - July 13, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(7/8/2021)

IAR

Pennsylvania
(7/9/2021)

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

State Security Law Exam

IAR

Series 66

Date: 6/17/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/29/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/7/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/24/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/29/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/7/2022

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/7/2022

General Securities Sales Supervisor - Options Module Examination

Current Firm

THE J.O. JOHNSON GROUP INC.

CRD#: 315115 / SEC#:

Maryland

Registered Investment Advisory firm - (7/8/2021 Approved)

Pennsylvania

Registered Investment Advisory firm - (7/9/2021 Approved)

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Contact information

Main Address

Sykesville, MD

Mailing Address

Phone number

(215) 272-2515

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 20,338,310

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

Joseph A. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/17/2003

Series 63

Date: 6/29/1998

Series 7TO

Date: 12/7/2022

SIE

Date: 10/1/2018

Series 7

Date: 6/24/1998

Series 6

Date: 5/29/1997

Series 10

Date: 12/7/2022

Series 9

Date: 12/7/2022

Current Firm

THE J.O. JOHNSON GROUP INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE J.O. JOHNSON GROUP INC.

TRUST BUT VERIFY

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