Adrian S. Johnson
Professional summary
Adrian Sean Johnson, who also goes by Sean Johnson, is a registered financial advisor currently at PUGH CAPITAL MANAGEMENT, INC. located in Seattle, Washington.
Adrian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Adrian has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Adrian Sean Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 16, 2018 - Present
PUGH CAPITAL MANAGEMENT, INC.
Office #1: 1700 7th Avenue Suite 1510, Seattle, WA 98101May 17, 2013 - February 15, 2019
RBC ROCHDALE, LLC
February 7, 2013 - December 31, 2017
CNR SECURITIES, LLC
April 5, 2002 - May 6, 2004
CITIGROUP GLOBAL MARKETS INC.
April 4, 2002 - May 6, 2004
CITIGROUP GLOBAL MARKETS INC.
November 29, 2000 - April 12, 2002
PIPER SANDLER & CO.
April 28, 1998 - September 12, 2000
ARVEST WEALTH MANAGEMENT
Primary Firm SEC Registration
PUGH CAPITAL MANAGEMENT, INC.
CRD#: 111765 / SEC#: 801-39138
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/16/2018)
Exams
Current Firm
PUGH CAPITAL MANAGEMENT, INC.
CRD#: 111765 / SEC#: 801-39138
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 86 |
| AUM (Assets Under Management) | $ 13,139,004,601 |
Red Flags
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