Lance G. Johnson
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.
Lance G Johnson, CFP®, who also goes by Lance Griffin Johnson, Putter Johnson, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 2009. Lance had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2018 - August 29, 2024
MAI CAPITAL MANAGEMENT, LLC
August 22, 2013 - October 26, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2013 - October 26, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 2012 - May 23, 2013
ZACKS INVESTMENT MANAGEMENT, INC.
October 6, 2009 - December 31, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
MAI CAPITAL MANAGEMENT, LLC
CRD#: 109807 / SEC#: 801-58104
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MAI CAPITAL MANAGEMENT, LLC
CRD#: 109807 / SEC#: 801-58104
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 40,758 |
| AUM (Assets Under Management) | $ 29,630,499,856 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 01/28/2024 |
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.
