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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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JJ

John O. Johnson

Some features on this profile are disabled
CRD#: 2961426
JJ

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.

John Oscar Robert Johnson was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1998. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

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®
None

Experience

Past

July 10, 2015 - November 25, 2015

MODERN CAPITAL ADVISORS, LLC

RIA
CRD#: 131117
CAMARILLO, CA
Past

May 27, 2015 - November 25, 2015

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
Thousand Oaks, CA
Past

January 2, 2015 - May 26, 2015

KOVACK ADVISORS, INC.

RIA
CRD#: 140808
CAMARILLO, CA
Past

October 15, 2014 - May 26, 2015

KOVACK SECURITIES INC.

BD
CRD#: 44848
Camarillo, CA
Past

January 14, 2013 - December 31, 2014

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RIA
CRD#: 143384
CAMARILLO, CA
Past

January 10, 2013 - October 15, 2014

RESOURCE HORIZONS GROUP LLC

BD
CRD#: 104368
CAMARILLO, CA
Past

August 26, 2010 - December 31, 2012

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RIA
CRD#: 143384
CAMARILLO, CA
Past

August 26, 2010 - December 31, 2012

RESOURCE HORIZONS GROUP LLC

BD
CRD#: 104368
CAMARILLO, CA
Past

December 14, 2007 - April 29, 2010

AFA FINANCIAL GROUP, LLC

BD
CRD#: 127648
CALABASAS, CA
Past

November 20, 2007 - April 29, 2010

AFA ADVISOR SERVICES LLC

RIA
CRD#: 129104
CAMARILLO, CA
Past

January 16, 2001 - December 31, 2005

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
CAMARILLO, CA
Past

August 28, 2000 - December 31, 2005

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
CAMARILLO, CA
Past

January 26, 1998 - December 31, 1999

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

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".
MC
MODERN CAPITAL ADVISORS, LLC
LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA
Registered Investment Advisory firm - (7/26/2011 Approved)
Arizona
Registered Investment Advisory firm - (2/2/2012 Terminated)
California
Registered Investment Advisory firm - (3/3/2012 Terminated)
Mississippi
Registered Investment Advisory firm - (2/2/2012 Terminated)
Nevada
Registered Investment Advisory firm - (3/16/2012 Terminated)
Ohio
Registered Investment Advisory firm - (2/2/2012 Terminated)

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
IAR
Series 65
Date: 9/16/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/8/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/25/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/28/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/13/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MC
MODERN CAPITAL ADVISORS, LLC
LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA
Registered Investment Advisory firm - (7/26/2011 Approved)
Arizona
Registered Investment Advisory firm - (2/2/2012 Terminated)
California
Registered Investment Advisory firm - (3/3/2012 Terminated)
Mississippi
Registered Investment Advisory firm - (2/2/2012 Terminated)
Nevada
Registered Investment Advisory firm - (3/16/2012 Terminated)
Ohio
Registered Investment Advisory firm - (2/2/2012 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617
Mailing Address
Phone number
(800) 440-0442
Established
Firm type
Fiscal year end
# of Employees
30

SEC notice filing (37 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

MODERN CAPITAL ADVISORS ADV 2A (3/29/2024)

Regulatory assets under management

Total Number of Accounts1,561
AUM (Assets Under Management)$ 285,401,221

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

MODERN CAPITAL ADVISORS, LLC

CRD#: 131117

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