Troy Sherman Johnson
Professional Summary
Troy Sherman Johnson is a registered financial advisor currently at MUTUAL OF AMERICA SECURITIES LLC located in Bloomington, Minnesota. Troy is registered as a RR (Registered Representative) and started their career in finance in 1998. Troy has worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
WELLS FARGO CLEARING SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
WELLS FARGO CLEARING SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
WELLS FARGO CLEARING SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
WELLS FARGO CLEARING SERVICES, LLC
Years of Experience
28 years in the financial services industry
Current & Past Employments
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
WELLS FARGO CLEARING SERVICES, LLC
Current Firm
MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC
Contact Information
Main Address
320 Park Avenue, New York, NY 10022Mailing Address
320 Park Avenue, New York, NY 10022-3869Phone Number
(212) 224-1600Established
Delaware since 06/29/1990Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | — |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| ELLIS, KYLE ANDREW | VICE PRESIDENT AND DEPUTY CHIEF COMPLIANCE OFFICER | 6120765 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
WELLS FARGO CLEARING SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
(6/10/2024)
(6/10/2024)
(6/10/2024)
(6/10/2024)
(6/10/2024)
(6/10/2024)
(12/8/2021)
(12/8/2021)
(2/15/2008)
(12/8/2021)
(12/8/2021)
(1/3/2013)
(2/8/2008)
(12/8/2021)
(6/10/2024)
(6/17/2021)
(6/10/2024)
(6/10/2024)
(2/20/2008)
(12/9/2021)
(1/23/2025)
(6/10/2024)
(2/20/2008)
(1/23/2025)
(6/10/2024)
(6/10/2024)
(1/3/2013)
(6/10/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 2013About the Series 26 examSRO Registrations
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
WELLS FARGO CLEARING SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Troy Sherman Johnson's CRS (Customer Relationship Summary).
Similar Advisors
ELEMENT SQUARED PRIVATE WEALTH
LPL ENTERPRISE, LLC
WELLS FARGO CLEARING SERVICES, LLC
