Erik J. Johnson

CETERA INVESTMENT ADVISERS LLC

ORLANDO, FL 32801

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CRD#: 4202432

Professional summary

Erik J Johnson, who also goes by Erik James Johnson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Orlando, Florida and CETERA INVESTMENT SERVICES LLC located in Orlando, Florida.

Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Erik has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erik James 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.)REGIONS BANK, WEALTH ADVISOR, CUSTOMER SERVICE, DEPOSIT ACCOUNTS, LOANS AND CREDIT CARD PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik J Johnson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 28, 2015 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 111 N Orange St, Orlando, FL 32801

RIA

CRD#: 105644

ORLANDO, FL

Current

April 30, 2015 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 111 N Orange St, Orlando, FL 32801

CRD#: 15340

Orlando, FL

Past

March 13, 2014 - December 2, 2014

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAINT CLOUD, MN

Past

April 15, 2013 - January 29, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

MELBOURNE, FL

Past

April 8, 2013 - December 2, 2014

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MELBOURNE, FL

Past

September 17, 2010 - March 31, 2012

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

MELBOURNE, FL

Past

July 27, 2010 - March 31, 2012

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MELBOURNE, FL

Past

June 1, 2010 - June 24, 2010

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

VERO BEACH, FL

Past

July 2, 2009 - June 24, 2010

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

VERO BEACH, FL

Past

July 17, 2001 - April 28, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

MELBOURNE, 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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Alabama
(7/1/2016)

Florida
(4/30/2015)

IAR

Florida
(5/28/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/27/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/27/2001

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: 10/5/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/16/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Erik J. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik J Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/27/2010

Series 63

Date: 7/27/2001

SIE

Date: 10/1/2018

Series 7

Date: 10/5/2009

Series 6

Date: 7/16/2001

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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