TJ
Troy S. Johnson
MUTUAL OF AMERICA SECURITIES LLC
BLOOMINGTON, MN 55437
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CRD#: 3052097
TJ
Professional summary
Troy Sherman Johnson is a registered financial professional 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.
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.
CRS (Client Relationship Summary) - BD
Click below to view Troy Sherman Johnson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 24, 2001 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: Normandale Lake Office Park 8300 Norman Center Drive, Suite 160, Bloomington, MN 55437BD
CRD#: 27878
BLOOMINGTON, MN
Past
September 24, 2001 - November 16, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
BLOOMINGTON, MN
Past
June 2, 1998 - September 13, 2001
MARQUETTE FINANCIAL GROUP, INC.
BD
CRD#: 345
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(6/10/2024)
RR
Arizona(6/10/2024)
RR
California(6/10/2024)
RR
Colorado(6/10/2024)
RR
Hawaii(6/10/2024)
RR
Idaho(6/10/2024)
RR
Illinois(12/8/2021)
RR
Indiana(12/8/2021)
RR
Iowa(2/15/2008)
RR
Kansas(12/8/2021)
RR
Kentucky(12/8/2021)
RR
Michigan(1/3/2013)
RR
Minnesota(2/8/2008)
RR
Missouri(12/8/2021)
RR
Montana(6/10/2024)
RR
Nebraska(6/17/2021)
RR
Nevada(6/10/2024)
RR
New Mexico(6/10/2024)
RR
North Dakota(2/20/2008)
RR
Ohio(12/9/2021)
RR
Oklahoma(1/23/2025)
RR
Oregon(6/10/2024)
RR
South Dakota(2/20/2008)
RR
Texas(1/23/2025)
RR
Utah(6/10/2024)
RR
Washington(6/10/2024)
RR
Wisconsin(1/3/2013)
RR
Wyoming(6/10/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 8/28/2024
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MO
MUTUAL OF AMERICA SECURITIES LLC
MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
320 Park Avenue, New York, NY 10022
Mailing Address
320 Park Avenue, New York, NY 10022-3869
Phone number
(212) 224-1600
Established
Delaware since 06/29/1990
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 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 |
| 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 |
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.
