Carol R. Johnson

PRUDENT MAN INVESTMENT MANAGEMENT

Highlands Ranch, CO

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CRD#: 3084320

Professional summary

Carol Renee Johnson, CFP®, who also goes by Carol Renee Rodgers, is a registered financial advisor currently at PRUDENT MAN INVESTMENT MANAGEMENT located in Highlands Ranch, Colorado.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Carol has worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 10 and Series 9 exams.

At a Glance

Always Fiduciary

Aliases

Carol Renee Rodgers

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) - RIA

Click below to view Carol Renee Johnson's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

January 7, 2020 - Present

PRUDENT MAN INVESTMENT MANAGEMENT

RIA

CRD#: 104574

Highlands Ranch, CO

Past

February 4, 2019 - November 6, 2019

SOUTHSTATE PRIVATE CAPITAL MANAGEMENT LLC

RIA

CRD#: 165306

DENVER, CO

Past

August 29, 2007 - December 3, 2007

TD AMERITRADE, INC.

RIA

CRD#: 7870

PLANO, TX

Past

August 29, 2007 - December 3, 2007

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

PLANO, TX

Past

August 24, 2007 - December 3, 2007

TD AMERITRADE, INC.

CRD#: 7870

PLANO, TX

Past

July 28, 2003 - October 10, 2005

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

NORTHBROOK, IL

Past

June 19, 2000 - October 10, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

November 10, 1998 - May 3, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 15, 1998 - October 27, 1998

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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".

PRUDENT MAN INVESTMENT MANAGEMENT

PRUDENT MAN INVESTMENT MANAGEMENT | PRUDENT MAN INVESTMENT MANAGEMENT INC

CRD#: 104574 / SEC#: 801-33304

RIA

Registered Investment Advisory firm - (11/21/1988 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/7/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/10/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/14/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 12/23/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/8/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/29/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/21/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

PRUDENT MAN INVESTMENT MANAGEMENT

PRUDENT MAN INVESTMENT MANAGEMENT | PRUDENT MAN INVESTMENT MANAGEMENT INC

CRD#: 104574 / SEC#: 801-33304

RIA

Registered Investment Advisory firm - (11/21/1988 Approved)

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Contact information

Main Address

927 Main Street, Lousiville, CO 80027

Mailing Address

Phone number

(303) 436-1577

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (2/21/2025)

Regulatory assets under management

Total Number of Accounts	229
AUM (Assets Under Management)	$ 323,733,001

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.

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Carol R. Johnson

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Renee Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHSTATE PRIVATE CAPITAL MANAGEMENT LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

PRUDENT MAN INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/1998

Series 63

Date: 10/14/1998

Series 31

Date: 12/23/1998

Series 7

Date: 10/8/1998

Series 10

Date: 11/29/2001

Series 9

Date: 11/21/2001

Current Firm

PRUDENT MAN INVESTMENT MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRUDENT MAN INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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