Roger W. Johnson

ACT ADVISORS

Mt. Pleasant, SC 29464

CRD#: 4545355

Professional summary

Roger Wesley Johnson, CFP® is a registered financial advisor currently at ACT ADVISORS located in Mt. Pleasant, South Carolina.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Roger has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Employee and Employer Plan Ben...

Estate Planning

Retirement Planning

Insurance Planning

Investment Planning

Small Business Planning

Tax Planning

Retirement Income Management

Comprehensive Financial Planni...

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. 6/21/2021 - No Business Name - Investment Related - North Myrtle Beach, SC 29582 - Real Estate Rental - Start Date: 5/19/2021 - 1 Hours Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Wesley 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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

November 19, 2014 - Present

ACT ADVISORS

Office #1: 1156 Bowman Rd, Suite 200, Mt. Pleasant, SC 29464

RIA

CRD#: 173120

Mt. Pleasant, SC

Past

December 18, 2013 - December 22, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

ASHEVILLE, NC

Past

December 16, 2013 - December 18, 2023

LPL FINANCIAL LLC

CRD#: 6413

ASHEVILLE, NC

Past

June 13, 2005 - December 20, 2013

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

N CHARLESTON, SC

Past

May 25, 2005 - December 20, 2013

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

N CHARLESTON, SC

Past

June 16, 2004 - February 3, 2005

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

CHARLOTTE, NC

Past

June 14, 2004 - February 3, 2005

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

August 21, 2002 - June 16, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

RALEIGH, NC

Past

August 7, 2002 - June 16, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

ACT ADVISORS

ACT ADVISORS | ACT ADVISORS, LLC | ACT ADVISORS WEALTH MANAGEMENT

CRD#: 173120 / SEC#: 801-80418

RIA

Registered Investment Advisory firm - (10/15/2014 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
(3/20/2024)

IAR

North Carolina
(12/22/2014)

IAR

South Carolina
(11/19/2014)

IAR

Washington
(3/20/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/20/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/6/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/2018

General Securities Principal Examination

Current Firm

ACT ADVISORS

ACT ADVISORS | ACT ADVISORS, LLC | ACT ADVISORS WEALTH MANAGEMENT

CRD#: 173120 / SEC#: 801-80418

RIA

Registered Investment Advisory firm - (10/15/2014 Approved)

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Contact information

Main Address

521 College Street, Asheville, NC 28801

Mailing Address

Phone number

(828) 398-2802

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A 03-25-22 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,027
AUM (Assets Under Management)	$ 433,964,272

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Roger W. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Wesley Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ACT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/20/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/6/2002

Series 24

Date: 12/21/2018

Current Firm

ACT ADVISORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ACT ADVISORS

TRUST BUT VERIFY

Contact information

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