Amy M. Johnson
CETERA INVESTMENT ADVISERS LLC | Financial Advisor
St Louis Park, MN 55416
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CRD#: 4678850
Professional summary
Amy Marie Johnson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Louis Park, Minnesota and CETERA WEALTH SERVICES, LLC located in St Louis Park, Minnesota.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Amy has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
What are your service offerings?
Small Business
Sustainable and Responsible In...
Retirement Planning Strategies
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. NAME OF OTHER BUSINESS: RENTAL PROPERTIES INVESTMENT RELATED: NO ADDRESS: ST. LOUIS PARK, MN, 55426 AND MINNEAPOLIS, MN 55418 NATURE OF BUSINESS: REAL ESTATE START DATE: 11/2023, 10/2023 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: SOLE OWNER OF TWO REAL ESTATE RENTAL PROPERTIES, I AM RESPONSIBLE FOR ALL DUTIES; 2. NAME OF OTHER BUSINESS: STEIN FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: WORKING WITH CLIENTS ON FINANCIAL PLANS AND MAKING SECURITIES RECOMMENDATIONS AS WELL AS DOING THOSE TRANSACTIONS;
CRS (Client Relationship Summary) - RIA
Click below to view Amy Marie 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 29, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1600 Utica Ave S 9th Floor, St Louis Park, MN, 55416RIA
CRD#: 105644
St Louis Park, MN
Current
January 29, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1600 Utica Ave S 9th Floor, St Louis Park, MN, 55416BD
CRD#: 13572
St Louis Park, MN
Past
March 17, 2023 - October 14, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
EDINA, MN
Past
March 17, 2023 - October 14, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
EDINA, MN
Past
October 31, 2022 - March 2, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PLYMOUTH, MN
Past
June 1, 2022 - March 2, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PLYMOUTH, MN
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
Florida(7/28/2025)
RR
Minnesota(1/29/2025)
IAR
Minnesota(1/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/1/2022
General Securities Representative ExaminationGeneral Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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Company Information
CETERA INVESTMENT ADVISERS LLC
Financial AdvisorCRD#: 105644St Louis Park, MN 55416TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
