Kenneth D. Johnson

OSAIC WEALTH

STATE COLLEGE, PA 16801

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CRD#: 4383323

Professional summary

Kenneth Dean Johnson, who also goes by Dean Johnson, is a registered financial advisor currently at OSAIC WEALTH, INC. located in State College, Pennsylvania.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dean 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.

***Advisory - SAA Position: Advisor Nature: Advisory - SAA Investment Related: Yes Hours: 1200 Securities Trading Hours: 1200 Start Date: 03/22/2019 Address: 12325 Port Grace Blvd, La Vista NE 68128 ***Hidden Hollow Cabin LLC. Position: Vice President Nature: Hidden Hollow Cabin LLC. Investment Related: No Hours: 10 Securities Trading Hours: 10 Start Date: 10/16/2018 Address: 196 Egg Hill Road, Spring Mills PA 16875 ***J&Y Consulting LLC. Position: Owner Nature: J&Y Consulting LLC. Investment Related: No Hours: 2 Securities Trading Hours: 2 Start Date: 04/07/2014 Address: 2125 E College Ave Ste 101, State College PA 16801 PA 16801 ***Hope Fund of Penns Valley Position: BOD of Marketing Nature: Hope Fund of Penns Valley Investment Related: No Hours: 2 Securities Trading Hours: 0 Start Date: 01/01/2008 Address: PO Box 427, Centre Hall PA 16828 ***DBA: NITTANY BROKERAGE SERVICE ***NITTANY CLOSING COMPANY LLC. POSITION: Owner NATURE: Nittany Closing Company LLC. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/16/2009 ADDRESS: 2125 E College Ave Ste 101, State College PA 16801 DESCRIPTION: Tax Services / Payroll Services / Legal Referral Services ***EAST COLLEGE AVE PROFESSIONAL PARK CONDO ASSOCIATION POSITION: Vice President NATURE: East College Ave Professional Park Condo Association INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2016 ADDRESS: 2125 E College Ave, State College PA 16801 DESCRIPTION: President ***CENTRE FIRST BANK / OLD DOMINION POSITION: Advisor NATURE: Advisory Board of Directors INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2022 ADDRESS: 1276 N Atherton St., State College PA 16803 DESCRIPTION: I will sit on the Advisory BOD to discuss community customer service, relationships etc. ***NITTANY BROKERAGE SERVICES INC. POSITION: Owner NATURE: Nittany Brokerage Services Inc. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/05/2005 ADDRESS: 2125 E College Ave Ste 101, State College PA 16801 DESCRIPTION: Sales and service of Life & Health licensed products ***NITTANY INSURANCE AGENTS INC. POSITION: Owner NATURE: Nittany Insurance Agents Inc. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/01/2007 ADDRESS: 2125 E College Ave. Ste 101, State College PA 16801 DESCRIPTION: Sales & Service of Property & Casualty products ***MYSRBS MY STATE RETIREE BENEFITS SOLUTIONS POSITION: Sales NATURE: Group Dental, Vision, Life, Insurance products and services. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 04/01/2024 ADDRESS: 2125 East College Ave, Suite 101, STATE COLLEGE PA 16801 DESCRIPTION: Offer Group Dental, Vision, Life, and other Insurance products to retirees of Pennsylvania State Employers who lose coverage at retirement.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Dean Johnson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Dean 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

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2125 East College Ave Suite 101, State College, PA 16801

RIA

CRD#: 23131

STATE COLLEGE, PA

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2125 East College Ave Suite 101, State College, PA 16801

RIA

CRD#: 23131

STATE COLLEGE, PA

Past

March 22, 2019 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

STATE COLLEGE, PA

Past

March 22, 2019 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

STATE COLLEGE, PA

Past

June 15, 2011 - March 25, 2019

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

STATE COLLEGE, PA

Past

September 9, 2005 - March 25, 2019

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

STATE COLLEGE, PA

Past

April 16, 2003 - September 29, 2005

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

July 9, 2001 - April 23, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

Arizona
(6/14/2024)

California
(6/14/2024)

Delaware
(6/14/2024)

Florida
(6/14/2024)

Georgia
(6/14/2024)

Hawaii
(2/18/2025)

Kentucky
(6/14/2024)

Maryland
(6/14/2024)

Massachusetts
(6/14/2024)

Missouri
(6/14/2024)

Montana
(6/14/2024)

New Hampshire
(6/14/2024)

New Jersey
(6/14/2024)

New York
(6/14/2024)

North Carolina
(6/14/2024)

IAR

North Carolina
(6/14/2024)

Ohio
(6/14/2024)

Oklahoma
(6/14/2024)

Pennsylvania
(6/14/2024)

IAR

Pennsylvania
(6/14/2024)

South Carolina
(6/14/2024)

Tennessee
(6/14/2024)

Texas
(6/14/2024)

IAR

Texas
(6/14/2024)

Vermont
(6/14/2024)

Virginia
(6/14/2024)

Washington
(6/11/2025)

West Virginia
(6/14/2024)

Wisconsin
(6/14/2024)

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

Series 63

Date: 4/20/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/6/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	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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Advisor Monitoring

Firm Stability Insights

Kenneth D. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Dean Johnson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Dean Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

VALIC FINANCIAL ADVISORS, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/20/2001

SIE

Date: 10/1/2018

Series 6

Date: 7/6/2001

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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