LJ
Lee R. Johnson
CETERA INVESTMENT ADVISERS LLC
PHILADELPHIA, PA 19106
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CRD#: 5345949
LJ
Professional summary
Lee Robert Johnson JR., who also goes by Lee Johnson Jr., is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Philadelphia, Pennsylvania and CETERA ADVISORS LLC located in Philadelphia, Pennsylvania.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lee has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lee Johnson Jr.
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. NAME OF OTHER BUSINESS: SUMMER SECLUSION INVESTMENT RELATED: NO ADDRESS: 38608 INDIAN TRAIL, OCEAN VIEW, DE 19970 NATURE OF BUSINESS: RENTAL PROPERTY START DATE: 11/2020 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: MAINTENANCE AND UPKEEP; 2. NAME OF OTHER BUSINESS: PROFESSIONAL PLANNING ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2024 APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 30 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SERVICES TO CLIENTS AND ADVISORS; 3. NAME OF OTHER BUSINESS: VALOR ASSET MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES, START: 08/2016, POSITION/TITLE/RELATIONSHIP: OWNER/FOUNDER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 30, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Lee Robert Johnson JR.'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®
NoneExperience
Current
January 27, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 190 N Independence Mall West Suite 602, Philadelphia, PA 19106RIA
CRD#: 105644
PHILADELPHIA, PA
Current
January 27, 2025 - Present
CETERA ADVISORS LLC
Office #1: 190 N Independence Mall West Suite 602, Philadelphia, PA 19106BD
CRD#: 10299
PHILADELPHIA, PA
Past
February 17, 2016 - January 27, 2025
GREAT VALLEY ADVISOR GROUP, LLC
RIA
CRD#: 123913
WILMINGTON, DE
Past
February 17, 2016 - February 5, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
CHESTER SPRINGS, PA
Past
April 27, 2009 - February 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BERWYN, PA
Past
June 20, 2007 - February 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BERWYN, PA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
Delaware(1/27/2025)
RR
Florida(1/27/2025)
RR
Illinois(1/27/2025)
RR
Maryland(1/27/2025)
RR
Massachusetts(1/27/2025)
RR
New Jersey(1/27/2025)
RR
New York(1/27/2025)
RR
Oregon(1/27/2025)
RR
Pennsylvania(1/27/2025)
IAR
Pennsylvania(1/27/2025)
RR
South Carolina(1/27/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
