Brian S. Johnson

DLK INVESTMENT MANAGEMENT | Portfolio Management and Research

SOLANA BEACH, CA 92075

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CRD#: 4510220

Professional summary

Brian Stewart Johnson is a registered financial advisor currently at DLK INVESTMENT MANAGEMENT located in Solana Beach, California.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Brian has worked at 3 firms and has passed the Series 65, Series 63, Series 6, Series 51 and Series 26 exams.

Biography

Brian has been in the financial services industry for over 17 years with an extensive background in both fixed income and equity management. At DLK, he oversees fixed income management including those for balanced allocations along with conducting equity research and trading for DLK’s strategies. He graduated with a B.A. from California State University San Bernardino.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Stewart 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

April 13, 2012 - Present

DLK INVESTMENT MANAGEMENT

Office #1: 238 North Cedros Ave Suite 200, Solana Beach, CA 92075

RIA

CRD#: 149096

SOLANA BEACH, CA

Past

March 21, 2011 - April 4, 2012

ANCHOR BAY CAPITAL, INC.

RIA

CRD#: 116913

CARLSBAD, CA

Past

December 20, 2002 - February 12, 2003

ANCHOR BAY CAPITAL, INC.

RIA

CRD#: 116913

CARLSBAD, CA

Past

May 31, 2002 - April 4, 2012

ANCHOR BAY SECURITIES, LLC

CRD#: 47360

CARLSBAD, CA

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".

DLK INVESTMENT MANAGEMENT

DLK INVESTMENT ADVISORS, LLC | DLK INVESTMENT MANAGEMENT, LLC | DLK INVESTMENT MANAGEMENT

CRD#: 149096 / SEC#: 801-69825

RIA

Registered Investment Advisory firm - (1/5/2009 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.

Highlighted states indicate IAR registrations

IAR

California
(4/13/2012)

IAR

Texas
(1/9/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/18/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/29/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/29/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 11/8/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/14/2004

Investment Company Products/Variable Contracts Principal Examination

Current Firm

DLK INVESTMENT MANAGEMENT

DLK INVESTMENT ADVISORS, LLC | DLK INVESTMENT MANAGEMENT, LLC | DLK INVESTMENT MANAGEMENT

CRD#: 149096 / SEC#: 801-69825

RIA

Registered Investment Advisory firm - (1/5/2009 Approved)

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Contact information

Main Address

238 North Cedros Ave Suite 200, Solana Beach, CA 92075

Mailing Address

Phone number

(858) 433-3200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DLK ADV PART 2A BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,122
AUM (Assets Under Management)	$ 435,005,553

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.

Contact information

xxxxx@xxxx.xxx

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Brian S. Johnson

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Stewart Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANCHOR BAY CAPITAL, INC.

ANCHOR BAY CAPITAL, INC.

ANCHOR BAY SECURITIES, LLC

Primary Firm SEC Registration

DLK INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/2011

Series 63

Date: 5/29/2002

Series 6

Date: 5/29/2002

Series 51

Date: 11/8/2004

Series 26

Date: 9/14/2004

Current Firm

DLK INVESTMENT MANAGEMENT

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DLK INVESTMENT MANAGEMENT

TRUST BUT VERIFY

Contact information

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