Marshal N. Johnson
HOWARD BAILEY SECURITIES
Fort Wayne, IN 46804
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CRD#: 5392834
Professional summary
Marshal Neil Johnson, CFP® is a registered financial advisor currently at HOWARD BAILEY SECURITIES, LLC located in Fort Wayne, Indiana.
Marshal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Marshal has worked at 4 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
MJ FINANCIAL, INC., Not Investment-Related, 9914 Oak Trail Road. Fort Wayne, IN, 46825, Insurance Agency, Owner, Start Date:01/05/2015, 8 Hours Per Month, Life Insurance
HOWARD BAILEY FINANCIAL, INC, Not Investment-Related, 6526 West Jefferson Blvd.Fort Wayne, IN 46804, Insurance Sales, Licensed Agent, Start Date: 9/16/13, 56 Hours Per Month, Life Insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Marshal Neil 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: 2016
Experience
Current
March 30, 2016 - Present
HOWARD BAILEY SECURITIES, LLC
Office #1: 5916 Covington Rd, Fort Wayne, IN 46804RIA
CRD#: 282712
Fort Wayne, IN
Past
September 27, 2013 - April 13, 2017
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
FORT WAYNE, IN
Past
November 2, 2011 - July 24, 2013
THE MUTUAL FUND STORE
RIA
CRD#: 143152
OVERLAND PARK, KS
Past
July 25, 2007 - November 2, 2011
TMFS-FORT WAYNE, LLC
RIA
CRD#: 125024
FORT WAYNE, IN
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".
HB
HOWARD BAILEY SECURITIES, LLC
HOWARD BAILEY FINANCIAL, INC. | HOWARD BAILEY SECURITIES, LLC
CRD#: 282712 / SEC#: 801-114636
RIA
Registered Investment Advisory firm - (1/30/2019 Approved)Arizona
Registered Investment Advisory firm - (2/15/2019 Terminated)Florida
Registered Investment Advisory firm - (2/15/2019 Terminated)Indiana
Registered Investment Advisory firm - (2/18/2019 Terminated)Michigan
Registered Investment Advisory firm - (2/19/2019 Terminated)North Carolina
Registered Investment Advisory firm - (2/6/2017 Terminated)Ohio
Registered Investment Advisory firm - (2/20/2019 Terminated)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.Highlighted states indicate IAR registrations
IAR
Indiana(3/6/2019)
Current Firm
HB
HOWARD BAILEY SECURITIES, LLC
HOWARD BAILEY FINANCIAL, INC. | HOWARD BAILEY SECURITIES, LLC
CRD#: 282712 / SEC#: 801-114636
RIA
Registered Investment Advisory firm - (1/30/2019 Approved)Arizona
Registered Investment Advisory firm - (2/15/2019 Terminated)Florida
Registered Investment Advisory firm - (2/15/2019 Terminated)Indiana
Registered Investment Advisory firm - (2/18/2019 Terminated)Michigan
Registered Investment Advisory firm - (2/19/2019 Terminated)North Carolina
Registered Investment Advisory firm - (2/6/2017 Terminated)Ohio
Registered Investment Advisory firm - (2/20/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5916 Covington Rd, Fort Wayne, IN 46804
Mailing Address
Phone number
(260) 482-9559
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,793 |
| AUM (Assets Under Management) | $ 484,882,228 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
