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SJ

Sarah A. Johnson

Some features on this profile are disabled
CRD#: 4765871
SJ

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.

Sarah Anne Johnson, who also goes by Sarah Anne Cline, Sarah Anne Evans Mrs., was a registered financial professional .

Sarah is a previously registered financial professional and started their career in finance in 2004. Sarah had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah Anne Cline | Sarah Anne Evans Mrs.

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) Rodan + Fields~60 Spear Street, Suite 600~San Francisco~CA~94105~Cosmetics Sales/Distribution~Sales Associate/Executive~3/2/2015~5hrs~0hrs~I am a sales consultant for Rodan & Fields Skincare products. 2) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES POSITION: Sales NATURE: Selling insurance and annuities. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/02/2020 ADDRESS: 818 Broadway, Larned KS 67550, DESCRIPTION: Get the proper education and sell annuities/ insurance through Avantax platform. 3) FIXED INDEXED ANNUITIES POSITION: Sales Agent NATURE: Selling FIA/EIA's INVESTMENT RELATED: No NUMBER OF HOURS: 11 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2020 ADDRESS: 818 Broadway, Larned KS 67550, DESCRIPTION: Educate clients regarding products and sell them. 4) SARAH JOHNSON CONSULTING POSITION: Owner NATURE: DBA of my investment company with Avantax INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2009 ADDRESS: 818 Broadway, Larned KS 67550, United States DESCRIPTION: Owner, licensed professional. 5) PAWNEE VALLEY COMMUNITY HOSPITAL POSITION: Board of Director NATURE: I sit on the governing board of our community owned hospital. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2022 ADDRESS: 923 Carroll Ave, Larned KS 67550, United States DESCRIPTION: As a board, we make general decisions and policies for our local community owned hospital. 6) ADAMSBROWN LLC POSITION: CPA NATURE: Income Tax preparation and related services. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/01/2023 ADDRESS: 1304 W 7th, Larned KS 67550, United States DESCRIPTION: Preparing Income Tax returns.

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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®
None

Experience

Past

November 23, 2009 - October 10, 2024

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
LARNED, KS
Past

November 23, 2009 - October 10, 2024

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
LARNED, KS
Past

October 10, 2006 - August 14, 2009

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
LARNED, KS
Past

October 10, 2006 - August 14, 2009

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
LARNED, KS
Past

December 13, 2004 - October 11, 2006

UMB FINANCIAL SERVICES, INC.

RIA
CRD#: 17073
LARNED, KS
Past

April 6, 2004 - October 11, 2006

UMB FINANCIAL SERVICES, INC.

BD
CRD#: 17073
LARNED, KS

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
IAR
Series 65
Date: 12/10/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/21/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/5/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/10/2007
General Securities Principal Examination

Current Firm

AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

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Contact information

Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)
AAS ADV PART 2A APPENDIX WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts140,306
AUM (Assets Under Management)$ 46,109,939,749

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024
Cover Page
Report
11/28/2023
Cover Page
Report
12/16/2022
Cover Page
Report

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.

Company Information

AVANTAX ADVISORY SERVICES

CRD#: 104556

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