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GJ

Geoffrey S. Johnson

Some features on this profile are disabled
CRD#: 4410909
GJ

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.

Geoffrey Scott Johnson, who also goes by Geoff Scott Johnson, Geoffrey S Johnson, was a registered financial professional .

Geoffrey is a previously registered financial professional and started their career in finance in 2001. Geoffrey had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Geoff Scott Johnson | Geoffrey S 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.
The advisor shows no other business activity.

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

April 25, 2025 - July 2, 2025

ALPHA CUBED INVESTMENTS, LLC

RIA
CRD#: 159347
COSTA MESA, CA
Past

March 26, 2024 - April 25, 2025

SOLTIS INVESTMENT ADVISORS, LLC

RIA
CRD#: 154690
Bellevue, WA
Past

May 7, 2018 - November 27, 2023

VIRTUS INVESTMENT ADVISERS, LLC

RIA
CRD#: 106982
LAKEWOOD, WA
Past

May 4, 2018 - November 27, 2023

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

May 19, 2017 - April 11, 2018

EDWARD JONES

RIA
CRD#: 250
TACOMA, WA
Past

May 19, 2017 - April 11, 2018

EDWARD JONES

BD
CRD#: 250
TACOMA, WA
Past

June 25, 2013 - December 31, 2015

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
EAST PUYALLUP, WA
Past

June 24, 2013 - April 28, 2017

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

April 30, 2010 - January 9, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
TACOMA, WA
Past

April 30, 2010 - January 9, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
TACOMA, WA
Past

January 1, 2008 - April 1, 2010

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
TACOMA, WA
Past

August 10, 2006 - January 1, 2008

RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS

BD
CRD#: 37550
TACOMA, WA
Past

January 26, 2006 - April 5, 2010

RUSSELL INVESTMENTS

RIA
CRD#: 105734
TACOMA, WA
Past

September 8, 2004 - June 13, 2006

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA
Past

July 16, 2004 - August 30, 2004

PIPER SANDLER & CO.

RIA
CRD#: 665
TACOMA, WA
Past

July 16, 2004 - August 30, 2004

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

May 3, 2002 - May 17, 2004

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
TACOMA, WA
Past

September 6, 2001 - May 17, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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".
AC
ALPHA CUBED INVESTMENTS, LLC
ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA
Registered Investment Advisory firm - (11/15/2012 Approved)
California
Registered Investment Advisory firm - (2/16/2013 Terminated)

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
IAR
Series 65
Date: 11/7/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/24/2001
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 31
Date: 11/15/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2001
General Securities Representative Examination

Current Firm

AC
ALPHA CUBED INVESTMENTS, LLC
ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA
Registered Investment Advisory firm - (11/15/2012 Approved)
California
Registered Investment Advisory firm - (2/16/2013 Terminated)
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Contact information

Main Address
1124 Bristol St., Costa Mesa, CA 92626
Mailing Address
Phone number
(800) 701-2457
Established
Firm type
Fiscal year end
# of Employees
34

SEC notice filing (43 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

FORM ADV PART 2A (4/1/2025)

Regulatory assets under management

Total Number of Accounts4,786
AUM (Assets Under Management)$ 3,026,637,539

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

ALPHA CUBED INVESTMENTS, LLC

CRD#: 159347

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