RJ
Richard S. Johnson
ADVISORS ASSET MANAGEMENT
Woodland, CA
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CRD#: 4483534
RJ
Professional summary
Richard Shane Johnson is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Woodland, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Richard has worked at 7 firms and has passed the Series 66, Series 79TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Real Estate Investor/Owner, 1613 House Drive, Woodland, CA 95776, start 6/2020, 2 hrs a month, not securities investment related. 2. MBS Properties LLC, 1613 House Drive, Woodland, CA, 50 % owner, start 7/2021, 5 hours a month, Rental Properties. These are out of state rental properties that will be managed by a property manager. Other than purchase and approval for large repairs, it will be hands off. not securities investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Shane Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Shane 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
January 23, 2014 - Present
ADVISORS ASSET MANAGEMENT, INC.
RIA
BD
CRD#: 46727
Woodland, CA
Current
January 28, 2011 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 300 Carnegie Center Suite 100, Princeton, NJ 08540RIA
BD
CRD#: 46727
Princeton, NJ
Past
May 10, 2010 - November 30, 2010
AUSDAL FINANCIAL PARTNERS, INC.
BD
CRD#: 7995
GLEN ELLYN, IL
Past
January 13, 2009 - December 31, 2014
MANAGER CONNECT, INC
RIA
CRD#: 148506
GLEN ELLYN, IL
Past
May 29, 2007 - June 5, 2008
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
WHEATON, IL
Past
May 29, 2007 - June 5, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
WHEATON, IL
Past
August 23, 2006 - May 14, 2007
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
PALATINE, IL
Past
August 23, 2006 - May 14, 2007
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
PALATINE, IL
Past
March 11, 2004 - August 29, 2006
GUGGENHEIM INVESTMENTS
RIA
CRD#: 129288
LISLE, IL
Past
March 12, 2003 - May 11, 2004
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
RIA
CRD#: 39805
LISLE, IL
Past
December 19, 2001 - August 29, 2006
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
BD
CRD#: 39805
LISLE, IL
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".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
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.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
California(9/28/2012)
IAR
California(1/23/2014)
RR
Hawaii(4/18/2023)
RR
Nevada(3/17/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
