JJ
Jaclyn K. Johnson
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CRD#: 4725309
JJ
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jaclyn Kate Johnson, who also goes by Jaclyn Kate Harrington, Katie Harrington, Katie Johnson, Katie Poteet, was a registered financial professional .
Jaclyn is a previously registered financial professional and started their career in finance in 2005. Jaclyn had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jaclyn Kate Harrington | Katie Harrington | Katie Johnson | Katie Poteet
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
September 12, 2019 - December 6, 2024
UNITED ADVISORS AMERICA
RIA
CRD#: 147350
PROSPER, TX
Past
February 27, 2018 - September 11, 2019
TD AMERITRADE, INC.
RIA
CRD#: 7870
DENTON, TX
Past
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
DENTON, TX
Past
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
DENTON, TX
Past
June 19, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
April 4, 2005 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
DENTON, TX
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".
UA
UNITED ADVISORS AMERICA
UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION
CRD#: 147350 / SEC#: 801-114134
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)Arizona
Registered Investment Advisory firm - (12/31/2010 Terminated)Arkansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Florida
Registered Investment Advisory firm - (8/23/2015 Terminated)Georgia
Registered Investment Advisory firm - (10/29/2018 Terminated)Illinois
Registered Investment Advisory firm - (10/17/2018 Terminated)Indiana
Registered Investment Advisory firm - (6/20/2011 Terminated)Iowa
Registered Investment Advisory firm - (11/1/2018 Terminated)Kansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Kentucky
Registered Investment Advisory firm - (10/29/2018 Terminated)Michigan
Registered Investment Advisory firm - (10/30/2018 Terminated)Missouri
Registered Investment Advisory firm - (10/29/2018 Terminated)North Carolina
Registered Investment Advisory firm - (10/30/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/30/2018 Terminated)Oklahoma
Registered Investment Advisory firm - (10/29/2018 Terminated)Oregon
Registered Investment Advisory firm - (2/27/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/30/2018 Terminated)Tennessee
Registered Investment Advisory firm - (11/1/2018 Terminated)Texas
Registered Investment Advisory firm - (10/29/2018 Terminated)Virginia
Registered Investment Advisory firm - (10/30/2018 Terminated)Washington
Registered Investment Advisory firm - (1/28/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (10/29/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
UA
UNITED ADVISORS AMERICA
UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION
CRD#: 147350 / SEC#: 801-114134
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)Arizona
Registered Investment Advisory firm - (12/31/2010 Terminated)Arkansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Florida
Registered Investment Advisory firm - (8/23/2015 Terminated)Georgia
Registered Investment Advisory firm - (10/29/2018 Terminated)Illinois
Registered Investment Advisory firm - (10/17/2018 Terminated)Indiana
Registered Investment Advisory firm - (6/20/2011 Terminated)Iowa
Registered Investment Advisory firm - (11/1/2018 Terminated)Kansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Kentucky
Registered Investment Advisory firm - (10/29/2018 Terminated)Michigan
Registered Investment Advisory firm - (10/30/2018 Terminated)Missouri
Registered Investment Advisory firm - (10/29/2018 Terminated)North Carolina
Registered Investment Advisory firm - (10/30/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/30/2018 Terminated)Oklahoma
Registered Investment Advisory firm - (10/29/2018 Terminated)Oregon
Registered Investment Advisory firm - (2/27/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/30/2018 Terminated)Tennessee
Registered Investment Advisory firm - (11/1/2018 Terminated)Texas
Registered Investment Advisory firm - (10/29/2018 Terminated)Virginia
Registered Investment Advisory firm - (10/30/2018 Terminated)Washington
Registered Investment Advisory firm - (1/28/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (10/29/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
290 S Preston Road Suite 220, Prosper, TX 75078
Mailing Address
Phone number
(877) 443-0610
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,625 |
| AUM (Assets Under Management) | $ 353,695,420 |
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.
