Gary N. Johnson
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.
Gary Neal Johnson was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1999. Gary had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2017 - November 8, 2022
AVANTAX ADVISORY SERVICES
September 5, 2017 - March 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
March 15, 2017 - October 3, 2017
QUESTAR ASSET MANAGEMENT, INC.
March 15, 2017 - October 3, 2017
QUESTAR CAPITAL CORPORATION
January 3, 2011 - March 21, 2017
CETERA FINANCIAL SPECIALISTS LLC
September 7, 2004 - January 10, 2011
AVANTAX INVESTMENT SERVICES, INC.
July 3, 2003 - September 10, 2004
ALLSTATE FINANCIAL SERVICES, LLC
February 6, 2002 - July 8, 2003
LPL FINANCIAL LLC
October 8, 1999 - February 13, 2002
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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