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TJ

Tariq Johnson

Some features on this profile are disabled
CRD#: 5475577
TJ

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.

Tariq Johnson was a registered financial professional .

Tariq is a previously registered financial professional and started their career in finance in 2008. Tariq had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 20, 2019 - September 27, 2019

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
JACKSONVILLE, FL
Past

May 17, 2019 - September 27, 2019

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
JACKSONVILLE, FL
Past

December 18, 2017 - April 2, 2018

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
RIVERSIDE, CA
Past

December 18, 2017 - April 2, 2018

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
RIVERSIDE, CA
Past

April 1, 2015 - September 15, 2017

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
RIVERSIDE, CA
Past

March 30, 2015 - September 15, 2017

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
RIVERSIDE, CA
Past

February 13, 2014 - March 4, 2015

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PHILADELPHIA, PA
Past

February 10, 2014 - March 4, 2015

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
PHILADELPHIA, PA
Past

August 16, 2010 - May 16, 2012

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
MARSHALL, VA
Past

April 28, 2010 - May 16, 2012

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
MARSHALL, VA
Past

January 31, 2008 - August 7, 2008

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/13/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/6/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/30/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132 / SEC#: 801-60300, 8-49711

BD
Terminated by SEC on 12/09/2025
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Contact information

Main Address
10150 Meanley Drive 1st Floor, San Diego, CA 92131
Mailing Address
Phone number
(858) 530-4400
Established
California since 11/07/1996
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
791

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

CUSO FINANCIAL WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)
CFS FORM ADV PART 2A BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AWS 3, INC.LIMITED PARTNER
AWS 1, LLCGENERAL PARTNER
HAWLEY, AMANDA CANDELMOCORPORATE SECRETARY3214453
MADURSKI, ANGELA JILLFINOP
SIMONSON, MARY KATHRYNADVISORY CHIEF COMPLIANCE OFFICER1297398
SIMONSON, MARY KATHRYNCHIEF COMPLIANCE OFFICER1297398

Regulatory assets under management

Total Number of Accounts29,354
AUM (Assets Under Management)$ 5,378,345,125

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/27/2024
Cover Page
Report
01/10/2024
Cover Page
Report

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

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

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