Kevin 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.
Kevin L Johnson, who also goes by Kevin Lee Johnson, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1997. Kevin had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2015 - May 30, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 9, 2015 - May 30, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 21, 2014 - January 7, 2015
CETERA INVESTMENT ADVISERS LLC
January 11, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
January 4, 2012 - January 7, 2015
CETERA INVESTMENT SERVICES LLC
March 31, 2009 - January 3, 2012
BANCWEST INVESTMENT SERVICES, INC.
February 27, 2009 - January 3, 2012
BANCWEST INVESTMENT SERVICES, INC.
October 24, 2002 - January 16, 2009
BOK FINANCIAL SECURITIES, INC.
September 27, 2002 - January 16, 2009
BOK FINANCIAL SECURITIES, INC.
October 23, 2001 - October 3, 2002
PRUDENTIAL EQUITY GROUP, LLC
August 24, 2001 - October 3, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 26, 1998 - September 22, 2001
MORGAN STANLEY DW INC.
November 6, 1997 - December 1, 1997
QUANTUM CAPITAL CORPORATION
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
