JJ
Jeffrey M. Johnson
NOVA FINANCIAL SERVICES
Tucson, AZ 85718
Some features on this profile are disabled
CRD#: 3276479
JJ
Professional summary
Jeffrey Michael Johnson, who also goes by Jeff Johnson, is a registered financial advisor currently at NOVA FINANCIAL SERVICES located in Tucson, Arizona and MUTUAL SECURITIES, INC. located in Tucson, Arizona.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jeffrey has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Johnson
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. Nova Financial, LLC, Start: 03/04/16, 1630 E. River Road Suite 212 Tucson, AZ 85718, RIA, Investment Adviser, Investment Related, 160 hours per month, 8 hours per day during trading hours.
2. Independent Insurance Agency, Sole Proprietor, Start:06/02/02 1630 E River Rd Suite 212 Tucson AZ 85718, Insurance Agency/Agent, Not Investment related, 6 hour per month, <1 hour per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Michael 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
March 31, 2016 - Present
NOVA FINANCIAL SERVICES
Office #1: 1630 E River Rd Suite 212, Tucson, AZ 85718RIA
CRD#: 150148
Tucson, AZ
Current
March 5, 2016 - Present
MUTUAL SECURITIES, INC.
Office #1: 1630 E River Road Suite 212, Tucson, AZ 85718BD
CRD#: 13092
Tucson, AZ
Past
August 26, 2004 - March 8, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TUCSON, AZ
Past
January 28, 2000 - March 8, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TUCSON, AZ
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".
NF
NOVA FINANCIAL SERVICES
ARIZONA FINANCIAL PLAN | TACTICAL PLANNING GROUP | QUANTUM WEALTH STRATEGIES | NOVA FINANCIAL SERVICES | NOVA FINANCIAL LLC | NOVA FINANCIAL & INSURANCE SERVICES
CRD#: 150148 / SEC#: 801-79612
RIA
Registered Investment Advisory firm - (4/25/2014 Approved)Arizona
Registered Investment Advisory firm - (4/28/2014 Terminated)California
Registered Investment Advisory firm - (5/28/2014 Terminated)Illinois
Registered Investment Advisory firm - (4/28/2014 Terminated)Texas
Registered Investment Advisory firm - (4/28/2014 Terminated)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
Arizona(3/8/2016)
IAR
Arizona(3/31/2016)
RR
California(3/5/2016)
RR
Colorado(3/5/2016)
RR
Indiana(10/26/2018)
RR
Missouri(3/21/2022)
RR
Oregon(10/1/2018)
RR
Texas(3/5/2016)
RR
Washington(3/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NOVA FINANCIAL SERVICES
ARIZONA FINANCIAL PLAN | TACTICAL PLANNING GROUP | QUANTUM WEALTH STRATEGIES | NOVA FINANCIAL SERVICES | NOVA FINANCIAL LLC | NOVA FINANCIAL & INSURANCE SERVICES
CRD#: 150148 / SEC#: 801-79612
RIA
Registered Investment Advisory firm - (4/25/2014 Approved)Arizona
Registered Investment Advisory firm - (4/28/2014 Terminated)California
Registered Investment Advisory firm - (5/28/2014 Terminated)Illinois
Registered Investment Advisory firm - (4/28/2014 Terminated)Texas
Registered Investment Advisory firm - (4/28/2014 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1630 E River Rd Suite 212, Tucson, AZ 85718
Mailing Address
Phone number
(520) 745-5555
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,354 |
| AUM (Assets Under Management) | $ 391,234,000 |
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.
