Rebecca P. Johnston

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CRD#: 3095014

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.

Rebecca P Johnston, who also goes by Rebecca P Johnston, Rebecca Prince Johnston, Becky Prince, Rebecca J Prince, Rebecca Joanne Prince, Rebecca Joanne Prince-johnston, was a registered financial professional .

Rebecca is a previously registered financial professional and started their career in finance in 2014. Rebecca had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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.

1.) INSURANCE AGENT, INVESTMENT-RELATED. 411 30TH STREET, 2ND FLOOR, OAKLAND, CA 94609, INSURANCE, START-04/2021. 2 HOURS PER MONTH SPENT ALL DURING SECURITIES TRADING HOURS. 2.) NOTARY PUBLIC FOR THE STATE OF NC. 411 30TH STREET, 2ND FLOOR, OAKLAND, CA 94609, NOT INVESTMENT RELATED. START DATE-5/2/22. 2 HOURS PER MONTH SPENT ALL DURING SECURITIES TRADING HOURS.

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

May 5, 2023 - November 20, 2024

SEMMAX FINANCIAL ADVISORS, INC.

RIA

CRD#: 144978

WINSTON-SALEM, NC

Past

June 7, 2022 - April 14, 2023

LIBERTY WEALTH MANAGEMENT, LLC

RIA

CRD#: 286001

RURAL HALL, NC

Past

May 28, 2020 - May 8, 2022

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Winston-Salem, NC

Past

May 23, 2020 - May 8, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Winston-Salem, NC

Past

January 8, 2018 - May 24, 2020

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

January 4, 2016 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

TAMPA, FL

Past

June 30, 2014 - May 24, 2020

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

TAMPA, FL

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".

SEMMAX FINANCIAL ADVISORS, INC.

SEMMAX FINANCIAL ADVISORS, INC. | SENMAX FINANCIAL ADVISORS, INC. | SEMMAX FINANCIAL GROUP, INC.

CRD#: 144978 / SEC#: 801-110932

RIA

Registered Investment Advisory firm - (8/1/2017 Approved)

North Carolina

Registered Investment Advisory firm - (8/31/2017 Terminated)

Texas

Registered Investment Advisory firm - (8/30/2017 Terminated)

Virginia

Registered Investment Advisory firm - (8/31/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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: 12/14/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/16/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/30/2014

General Securities Representative Examination

Current Firm

SEMMAX FINANCIAL ADVISORS, INC.

SEMMAX FINANCIAL ADVISORS, INC. | SENMAX FINANCIAL ADVISORS, INC. | SEMMAX FINANCIAL GROUP, INC.

CRD#: 144978 / SEC#: 801-110932

RIA

Registered Investment Advisory firm - (8/1/2017 Approved)

North Carolina

Registered Investment Advisory firm - (8/31/2017 Terminated)

Texas

Registered Investment Advisory firm - (8/30/2017 Terminated)

Virginia

Registered Investment Advisory firm - (8/31/2017 Terminated)

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Contact information

Main Address

1447 Trade Mart Blvd, Winston-salem, NC 27127

Mailing Address

Phone number

(336) 856-0080

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

SEMMAX ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	2,007
AUM (Assets Under Management)	$ 395,263,541

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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Advisor Monitoring

Firm Stability Insights

Rebecca P. Johnston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LIBERTY WEALTH MANAGEMENT, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

SEMMAX FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2015

Series 63

Date: 7/16/2014

SIE

Date: 10/1/2018

Series 7

Date: 6/30/2014

Current Firm

SEMMAX FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEMMAX FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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