Samuel F. Johnson
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.
Samuel Forrest Johnson was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2008. Samuel had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2020 - November 3, 2021
CETERA INVESTMENT ADVISERS LLC
September 23, 2020 - November 3, 2021
CETERA INVESTMENT SERVICES LLC
February 2, 2015 - April 13, 2020
FIRST CITIZENS INVESTOR SERVICES, INC.
February 2, 2015 - April 13, 2020
FIRST CITIZENS INVESTOR SERVICES, INC.
November 13, 2009 - February 11, 2015
HORNOR, TOWNSEND & KENT, LLC
November 10, 2009 - February 11, 2015
HORNOR, TOWNSEND & KENT, LLC
November 18, 2008 - November 3, 2009
PRINCIPAL SECURITIES, INC.
November 13, 2008 - November 3, 2009
PRINCIPAL SECURITIES, INC.
February 20, 2008 - November 5, 2008
THE STRATEGIC FINANCIAL ALLIANCE, INC.
January 4, 2008 - November 5, 2008
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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
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.
