Andrew M. Johnson

CREDIT UNION INVESTMENT SERVICES

Raleigh, NC 27603

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CRD#: 5321597

Professional summary

Andrew M Johnson, CFP®, who also goes by Andrew Marler Johnson, is a registered financial advisor currently at CREDIT UNION INVESTMENT SERVICES located in Raleigh, North Carolina and SECU BROKERAGE SERVICES located in Raleigh, North Carolina.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Andrew has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Marler Johnson

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.

State Employees' Credit Union. Investment Related Business. Nature: Financial Services. OSJ Office Address: Raleigh, NC. SECU Life Insurance Company. Investment related business. Address: Raleigh, NC. Nature: life insurance. Title: Agent. Start date: 2/2023. Duties and time (some during securities trading hours) as required in conjunction with position at State Employees' Credit Union. Proactive Real Estate. Rental Income, 40k p/yr on average. Owner. Location: 3369 Holden Beach rd. SW1 Holden Beach, NC. 28462. Not investment related, 5 hours per month. Start date: 07/11/2023

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew 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^®

Certified Financial Planner

Start date: 2006

Experience

Current

February 6, 2023 - Present

CREDIT UNION INVESTMENT SERVICES

Office #1: 801 Hillsborough St 3rd Floor, Raleigh, NC 27603

RIA

CRD#: 144871

Raleigh, NC

Current

February 1, 2023 - Present

SECU BROKERAGE SERVICES

Office #1: 801 Hillsborough Street 3rd Floor, Raleigh, NC 27603

CRD#: 19899

Raleigh, NC

Past

August 13, 2019 - February 1, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

FRANKLIN, WI

Past

March 2, 2017 - April 30, 2019

PROVISION WEALTH MANAGEMENT, INC

RIA

CRD#: 287500

CARY, NC

Past

November 30, 2009 - March 2, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

DURHAM, NC

Past

October 13, 2009 - March 2, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

DURHAM, NC

Past

September 18, 2007 - September 11, 2009

CREDIT UNION INVESTMENT SERVICES

RIA

CRD#: 144871

CHAPEL HILL, NC

Past

July 2, 2007 - October 4, 2007

SECU BROKERAGE SERVICES

RIA

CRD#: 19899

CHAPEL HILL, NC

Past

April 23, 2007 - September 11, 2009

SECU BROKERAGE SERVICES

CRD#: 19899

CHAPEL HILL, NC

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.

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

IAR

North Carolina
(2/6/2023)

North Carolina
(2/9/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/14/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/15/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/20/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/26/2023

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/4/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CREDIT UNION INVESTMENT SERVICES

CREDIT UNION INVESTMENT SERVICES | CREDIT UNION INVESTMENT SERVICES, INC.

CRD#: 144871 / SEC#:

North Carolina

Registered Investment Advisory firm - (9/5/2007 Approved)

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Contact information

Main Address

801 Hillsborough Street 3rd Floor, Raleigh, NC 27603

Mailing Address

Po Box 26807, Raleigh, NC 27611

Phone number

(800) 451-5467

Established

Firm type

Fiscal year end

# of Employees

258

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 110,960

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.

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Firm Stability Insights

Andrew M. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew M Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECU BROKERAGE SERVICES

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

PROVISION WEALTH MANAGEMENT, INC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CREDIT UNION INVESTMENT SERVICES

SECU BROKERAGE SERVICES

SECU BROKERAGE SERVICES

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/2019

Series 52TO

Date: 9/15/2023

SIE

Date: 3/2/2017

Series 7

Date: 10/15/2010

Series 6

Date: 4/20/2007

Series 53

Date: 10/26/2023

Series 24

Date: 4/4/2023

FINRA

Current Firm

CREDIT UNION INVESTMENT SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CREDIT UNION INVESTMENT SERVICES

TRUST BUT VERIFY

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