KJ
Kimberly V. Johnson
PRINCIPAL SECURITIES
LEXINGTON, KY
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CRD#: 3162558
KJ
Professional summary
Kimberly Vickers Johnson, who also goes by Kim Johnson, Kimberly Johnson, Kimberly Suzette VIckers, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Lexington, Kentucky.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kimberly has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kim Johnson | Kimberly Johnson | Kimberly Suzette Vickers
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) - RIA
Click below to view Kimberly Vickers Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Vickers 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
July 22, 2024 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
LEXINGTON, KY
Current
July 22, 2024 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
LEXINGTON, KY
Past
January 2, 2020 - July 24, 2024
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
LEXINGTON, KY
Past
September 27, 2019 - July 24, 2024
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
LEXINGTON, KY
Past
August 5, 2015 - September 10, 2019
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
Lexington, KY
Past
August 5, 2015 - September 10, 2019
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
Lexington, KY
Past
September 18, 2014 - July 16, 2015
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
COLUMBUS, OH
Past
August 25, 2014 - July 16, 2015
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
COLUMBUS, OH
Past
September 30, 2005 - August 15, 2014
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
LEXINGTON, KY
Past
September 16, 2002 - August 15, 2014
NYLIFE SECURITIES LLC
BD
CRD#: 5167
LEXINGTON, KY
Past
April 14, 2000 - September 6, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.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
Alabama(7/22/2024)
RR
Arizona(7/22/2024)
RR
Colorado(8/13/2025)
RR
Florida(7/22/2024)
RR
Georgia(3/6/2025)
RR
Kentucky(7/22/2024)
IAR
Kentucky(7/22/2024)
RR
Ohio(7/22/2024)
RR
South Carolina(7/22/2024)
RR
Tennessee(7/22/2024)
RR
Virginia(7/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
PREMIUM
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 |
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.
