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LJ

Luke M. Johnson

Some features on this profile are disabled
CRD#: 3257008
LJ

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.

Luke Michael Johnson was a registered financial professional .

Luke is a previously registered financial professional and started their career in finance in 2000. Luke had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

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.
1)INSURANCE SALES. NON-INVESTMENT RELATED. 9195 N. 101ST ST. SCOTTSDALE, AZ 85258 . SALE AND SERVICE OF FIXED INSURANCE PRODUCTS THROUGH VARIOUS VENDORS. INSURANCE AGENT, July 1999, 8 HOURS PER MONTH, 2 HOURS PER MONTH DURING TRADING HOURS. 20 % OF TOTAL INCOME COMES FROM SALE AND SERVICE OF FIXED INSURANCE PRODUCTS THROUGH VARIOUS VENDORS. 2)LEGEND CAPITAL GROUP INC. INVESTMENT RELATED 9195 NORTH 101ST SCOTTSDALE AR 85258. OWNER. APRIL 2006, THIS IS SIMPLY MY DBA NAME. 3)CHHSZ HOLDINGS, LLC, INVESTMENT-RELATED, 6201 COLLEGE BLVD SUITE #150, OVERLAND PARK, KS 66211, CHHSZ HOLDINGS, LLC IS A LIMITED LIABILITY COMPANY,"LLC" FORMED IN OCTOBER, 2019 UNDER THE LAWS OF THE STATE OF DELWARE. CHHSZ HOLDINGS, LLC IS THE SOLE OWNER OF PRIME CAPITAL INVESTMENT ADVISORS, LLC ("PCIA"), A FEDERALLY REGISTERED INVESTMENT ADVISER, MEMBER, <1 HOUR PER MONTH, <1 HOUR PER MONTH DURING TRADING HOURS, MEMBER PROVIDES PROFESSIONAL (INVESTMENT ADVISORY) SERVICES AS AN IAR OF PCIA.

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

January 29, 2020 - March 2, 2023

PRIME CAPITAL FINANCIAL

RIA
CRD#: 288712
Scottsdale, AZ
Past

January 15, 2013 - December 13, 2019

REALTA INVESTMENT ADVISORS, INC

RIA
CRD#: 134952
SCOTTSDALE, AZ
Past

April 3, 2012 - December 13, 2019

REALTA EQUITIES, INC.

BD
CRD#: 23769
SCOTTSDALE, AZ
Past

September 1, 2006 - March 23, 2009

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
SCOTTSDALE, AZ
Past

June 21, 2005 - April 28, 2006

CARILLON INVESTMENTS, INC.

BD
CRD#: 14646
CINCINNATI, OH
Past

November 13, 2000 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

November 13, 2000 - March 2, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

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".
PRIME CAPITAL FINANCIAL
PRIME CAPITAL FINANCIAL
20/20 FINANCIAL ADVISORS | SUGARLOAF WEALTH MANAGEMENT | STONNINGTON GROUP | QUALIFIED PLAN ADVISORS | PROFESSIONAL FINANCIAL SERVICES | PRIME CAPITAL WELLNESS | PRIME CAPITAL WEALTH MANAGEMENT | PRIME CAPITAL WEALTH | PRIME CAPITAL RETIREMENT | PRIME CAPITAL INVESTMENT ADVISORS, LLC | PRIME CAPITAL FINANCIAL | PRIME CAPITAL FAMILY OFFICE | PIER FINANCIAL ADVISORS | LONGER FINANCIAL | LIBERTY WEALTH ADVISORS | GIESTING FINANCIAL | FINANCIAL NETWORK LIMITED | EARTH EQUITY ADVISORS | CROSSVAULT CAPITAL MANAGEMENT, LLC | CORNERSTONE COMPREHENSIVE WEALTH MANAGEMENT | BURNS ESTATE PLANNING & WEALTH MANAGEMENT | 2020 FINANCIAL ADVISORS

CRD#: 288712 / SEC#: 801-110709

RIA
Registered Investment Advisory firm - (6/23/2017 Approved)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/24/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/13/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/2/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/10/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/18/2007
Investment Company Products/Variable Contracts Principal Examination

Current Firm

PRIME CAPITAL FINANCIAL
PRIME CAPITAL FINANCIAL
20/20 FINANCIAL ADVISORS | SUGARLOAF WEALTH MANAGEMENT | STONNINGTON GROUP | QUALIFIED PLAN ADVISORS | PROFESSIONAL FINANCIAL SERVICES | PRIME CAPITAL WELLNESS | PRIME CAPITAL WEALTH MANAGEMENT | PRIME CAPITAL WEALTH | PRIME CAPITAL RETIREMENT | PRIME CAPITAL INVESTMENT ADVISORS, LLC | PRIME CAPITAL FINANCIAL | PRIME CAPITAL FAMILY OFFICE | PIER FINANCIAL ADVISORS | LONGER FINANCIAL | LIBERTY WEALTH ADVISORS | GIESTING FINANCIAL | FINANCIAL NETWORK LIMITED | EARTH EQUITY ADVISORS | CROSSVAULT CAPITAL MANAGEMENT, LLC | CORNERSTONE COMPREHENSIVE WEALTH MANAGEMENT | BURNS ESTATE PLANNING & WEALTH MANAGEMENT | 2020 FINANCIAL ADVISORS

CRD#: 288712 / SEC#: 801-110709

RIA
Registered Investment Advisory firm - (6/23/2017 Approved)
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Contact information

Main Address
6201 College Blvd. Suite #150, Overland Park, KS 66211
Mailing Address
Phone number
(800) 493-6226
Established
Firm type
Fiscal year end
# of Employees
387

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PCF FORM ADV PART 2A 06-2025 (REVISED 060625) (6/6/2025)
PCF FORM ADV 2A APPENDIX 1 - WRAP FEE BROCHURE FOR LIMITED ADVISORY SERVICES 06-2025 (REVISED 060625) (6/6/2025)
PCF FORM ADV PART 2A - RETIREMENT PLAN SERVICES 06-2025 (REVISED 060625) (6/6/2025)
PCF FORM ADV 2A APPENDIX 1 - WRAP FEE BROCHURE FOR ASSET MANAGEMENT SERVICES 03-2025 (REVISED 030625) (3/6/2025)

Regulatory assets under management

Total Number of Accounts44,399
AUM (Assets Under Management)$ 30,111,066,570

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.

Company Information

PRIME CAPITAL FINANCIAL

PRIME CAPITAL FINANCIAL

CRD#: 288712

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