James B. Johnson

NWF ADVISORY SERVICES | Financial Advisor

Irvine, CA 92604

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CRD#: 5551678

Professional summary

James Bruce Johnson, who also goes by James Johnson, Jim Johnson, is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Irvine, California and OSAIC WEALTH, INC. located in Irvine, California.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Johnson | Jim 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.

1. JAMES JOHNSON INSURANCE POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/26/2008 ADDRESS: 6 Laketrail, Irvine CA 92604, United States DESCRIPTION: Advise clients and prospects of their insurance options. Complete policy reviews and service for existing clients. 2. NWF ADVISORY SERVICES POSITION: IAR of NWF Advisory Services NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 80 START DATE: 01/18/2019 ADDRESS: 6 Laketrail, Irvine CA 92604, United States DESCRIPTION: Manage account portfolios for a fee

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Bruce Johnson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 14, 2019 - Present

NWF ADVISORY SERVICES INC

Office #1: 6 Laketrail, Irvine, CA 92604

RIA

CRD#: 110410

Irvine, CA

Current

January 11, 2019 - Present

OSAIC WEALTH, INC.

RIA

CRD#: 23131

IRVINE, CA

Past

June 7, 2013 - January 16, 2019

EDWARD JONES

RIA

CRD#: 250

LAGUNA HILLS, CA

Past

June 7, 2013 - January 16, 2019

EDWARD JONES

CRD#: 250

LAGUNA HILLS, CA

Past

September 2, 2011 - April 4, 2013

MORGAN STANLEY

RIA

CRD#: 149777

SANTA ANA, CA

Past

August 10, 2011 - April 4, 2013

MORGAN STANLEY

CRD#: 149777

SANTA ANA, CA

Past

April 23, 2010 - May 4, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

REDONDO BEACH, CA

Past

August 6, 2008 - May 3, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TORRANCE, CA

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".

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 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.

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

Arizona
(6/2/2023)

California
(1/11/2019)

IAR

California
(1/14/2019)

Delaware
(8/21/2020)

Idaho
(1/11/2019)

South Carolina
(3/18/2024)

Texas
(1/11/2019)

Washington
(6/10/2022)

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

IAR

Series 66

Date: 9/1/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/13/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/28/2011

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/4/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/4/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

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Contact information

Main Address

11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064

Mailing Address

Phone number

(310) 475-5854

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWF ADV PART 2 A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,979
AUM (Assets Under Management)	$ 3,824,876,751

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James B. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Bruce Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

EDWARD JONES

EDWARD JONES

MORGAN STANLEY

MORGAN STANLEY

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

NWF ADVISORY SERVICES INC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/1/2011

Series 63

Date: 8/13/2008

SIE

Date: 10/1/2018

Series 31

Date: 9/28/2011

Series 7

Date: 8/4/2011

Series 6

Date: 8/4/2008

FINRA

Current Firm

NWF ADVISORY SERVICES INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NWF ADVISORY SERVICES INC

TRUST BUT VERIFY

Contact information

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