VJ
Vicky M. Johnson
PRINCIPAL SECURITIES
Springville, UT 84663
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CRD#: 5092636
VJ
Professional summary
Vicky M Johnson, AIF®, CFP®, who also goes by VIcky Johnson, Vicky Marie Stout, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Springville, Utah.
Vicky is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Vicky has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vicky Johnson | Vicky Marie Stout
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.
**MARY KAY COSMETICS. 02/2010-PRESENT, CONSULTATION, NOT SELLING PRODUCTS/BUILDING BUSINESS, REP RECEIVES INFORMATION ON NEW CONSULTANTS IN THE AREA SO SHE CAN MARKET INVESTMENT PRODUCTS TO THEM. **OUTSIDE INSURANCE, GROUP BENEFITS, SALE OF MEDICAL INSURANCE AND OTHER NON-MEDICAL GROUP BENEFITS SUCH AS LONG-TERM DISABILITY, SHORT-TERM DISABILITY AND DENTAL, ETC, 8/27/13. **JOHNSON CARPENTER WEALTH MANAGEMENT LP POSITION: Financial Advisor NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 180 START DATE: 02/27/2023 ADDRESS: 301 Banner Ct Suite1, Modesto CA 95356, United States DESCRIPTION: Legal partnership with Britney Carpenter and Tyler Johnson. **REINS OF HOPE POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2024 ADDRESS: 4257 East Keyes Road, Ceres CA 95307, United States DESCRIPTION: Board Member only. Reins of Hope is a group that allows sick/needy children therapy time with Horses.
CRS (Client Relationship Summary) - RIA
Click below to view Vicky M Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vicky M 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: 2011
Experience
Current
May 17, 2006 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 928 W 1450 S, Springville, UT 84663Office #2: 301 Banner Ct Ste 1, Modesto, CA 95356RIA
BD
CRD#: 1137
Springville, UT
Current
February 27, 2006 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 928 W 1450 S, Springville, UT 84663Office #2: 301 Banner Ct Ste 1, Modesto, CA 95356RIA
BD
CRD#: 1137
Springville, UT
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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(3/12/2015)
RR
Arkansas(9/21/2022)
RR
California(3/1/2006)
IAR
California(5/17/2006)
RR
Colorado(7/20/2016)
RR
Florida(8/15/2014)
RR
Georgia(7/28/2021)
RR
Idaho(5/16/2007)
RR
Kansas(1/17/2024)
RR
Nevada(3/13/2014)
RR
New Mexico(7/23/2021)
RR
New York(8/14/2014)
RR
Oklahoma(1/3/2019)
RR
Oregon(12/5/2014)
RR
Pennsylvania(9/11/2025)
RR
Texas(4/24/2018)
IAR
Texas(6/17/2021)
RR
Utah(1/26/2009)
RR
Washington(7/20/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Springville, UT 84663TRUST BUT VERIFY
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