SJ
Stuart L. Johnson
CETERA INVESTMENT ADVISERS LLC
PHOENIX, AZ 85016
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CRD#: 4538724
SJ
Professional summary
Stuart Leroy Johnson, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA INVESTMENT SERVICES LLC located in Phoenix, Arizona.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Stuart has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 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) TREASURER AND SECRETARY ON BOARD OF DIRECTORS FOR HOA (CIRCLE G AT RIGGS HOMESTEAD RANCH HOMEOWNERS ASSOCIATION), ATTEND MEETINGS, VOTE ON ISSUES IMPACTING HOMEOWNERS, HELP MANAGE THE HOA BUDGET, 2/HRS/WK
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Leroy 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®
CFP®
Start date: 2019
Experience
Current
June 19, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1702 E. Highland Ave Suite 204, Phoenix, AZ 85016Office #2: 605 E. Huntington Drive Suite 203, Monrovia, CA 91016RIA
CRD#: 105644
PHOENIX, AZ
Current
June 20, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1702 E. Highland Ave Suite 204, Phoenix, AZ 85016Office #2: 155 North Lake Avenue Suite 430, Pasadena, CA 91101BD
CRD#: 15340
Phoenix, AZ
Past
September 4, 2012 - June 25, 2019
FORESTERS ADVISORY SERVICES, LLC
RIA
CRD#: 164663
Monrovia, CA
Past
May 21, 2002 - June 25, 2019
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
MONROVIA, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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
Arizona(6/21/2019)
IAR
Arizona(3/18/2021)
IAR
California(6/19/2019)
RR
California(6/21/2019)
RR
Colorado(6/21/2019)
RR
Delaware(6/21/2019)
RR
Hawaii(6/21/2019)
RR
Illinois(6/21/2019)
RR
Iowa(6/21/2019)
RR
Maryland(6/21/2019)
RR
Massachusetts(6/21/2019)
RR
Michigan(6/21/2019)
RR
Minnesota(6/21/2019)
RR
Missouri(6/21/2019)
RR
Nebraska(6/21/2019)
RR
Nevada(6/21/2019)
RR
New Hampshire(6/21/2019)
RR
New Jersey(12/4/2023)
RR
New Mexico(6/21/2019)
RR
New York(6/21/2019)
RR
North Carolina(6/21/2019)
RR
Ohio(6/21/2019)
RR
Oklahoma(6/21/2019)
RR
Oregon(6/21/2019)
IAR
Texas(6/19/2019)
RR
Texas(6/21/2019)
RR
Utah(6/21/2019)
RR
Virginia(6/21/2019)
RR
Washington(6/21/2019)
RR
Wisconsin(6/21/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
