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SJ

Steven M. Johnston

Some features on this profile are disabled
CRD#: 2926423
SJ

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.

Steven Michael Johnston, CFP® was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1997. Steven had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

June 6, 2014 - December 31, 2014

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

RIA
CRD#: 169045
SCOTTSDALE, AZ
Past

May 13, 2014 - December 31, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
SCOTTSDALE, AZ
Past

January 18, 2010 - February 17, 2014

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
PHOENIX, AZ
Past

January 14, 2010 - February 17, 2014

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
PHOENIX, AZ
Past

July 3, 2008 - August 6, 2009

MERCER GLOBAL ADVISORS INC.

RIA
CRD#: 147363
SCOTTSDALE, AZ
Past

April 12, 2004 - June 26, 2008

MERCER ADVISORS

RIA
CRD#: 104569
SCOTTSDALE, AZ
Past

September 11, 2003 - March 30, 2004

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

September 9, 2003 - March 30, 2004

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BELLEVUE, WA
Past

June 8, 2000 - October 30, 2001

WAVELAND CAPITAL PARTNERS LLC

BD
CRD#: 40054
IRVINE, CA
Past

December 13, 1999 - August 4, 2003

MERCER ADVISORS

RIA
CRD#: 104569
BELLEVUE, WA
Past

May 1, 1998 - May 27, 1999

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

August 14, 1997 - April 13, 1998

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES

CRD#: 169045 / SEC#: 801-78565

RIA
Registered Investment Advisory firm - (9/20/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2010
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/8/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/15/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/8/2011
General Securities Principal Examination

Current Firm

HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES

CRD#: 169045 / SEC#: 801-78565

RIA
Registered Investment Advisory firm - (9/20/2013 Approved)
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Contact information

Main Address
8985 E. Bell Road, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 604-0600
Established
Firm type
Fiscal year end
# of Employees
25

SEC notice filing (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS - WRAP PROGRAM (3/26/2025)
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS (3/26/2025)

Regulatory assets under management

Total Number of Accounts1,804
AUM (Assets Under Management)$ 277,447,180

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.

Company Information

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

CRD#: 169045

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