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BJ

Brett A. Johnson

Some features on this profile are disabled
CRD#: 5619219
BJ

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.

Brett A Johnson was a registered financial professional .

Brett is a previously registered financial professional and started their career in finance in 2008. Brett had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 34, Series 3, Series 7, Series 24 and Series 4 exams.

top-8-questions

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

January 3, 2025 - June 13, 2025

ZEGA INVESTMENTS, LLC

RIA
CRD#: 330428
omaha, NE
Past

April 7, 2021 - January 2, 2025

ZEGA FINANCIAL, LLC

RIA
CRD#: 156803
OMAHA, NE
Past

December 22, 2017 - April 12, 2018

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
OMAHA, NE
Past

December 10, 2012 - December 31, 2020

TD AMERITRADE, INC.

RIA
CRD#: 7870
OMAHA, NE
Past

December 10, 2012 - January 11, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
OMAHA, NE
Past

August 21, 2009 - May 27, 2010

BELLEVUE CHICAGO, LLC

BD
CRD#: 106069
CHICAGO, IL
Past

December 22, 2008 - December 31, 2020

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE

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".
ZI
ZEGA INVESTMENTS, LLC
LUCKINBILL FINANCIAL ADVISORS | ZEGA INVESTMENTS, LLC | ZEGA INVESTMENTS

CRD#: 330428 / SEC#: 801-130244

RIA
Registered Investment Advisory firm - (6/3/2024 Approved)

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: 11/29/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/26/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 34
Date: 5/18/2015
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 12/18/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/26/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/26/2024
Registered Options Principal Examination

Current Firm

ZI
ZEGA INVESTMENTS, LLC
LUCKINBILL FINANCIAL ADVISORS | ZEGA INVESTMENTS, LLC | ZEGA INVESTMENTS

CRD#: 330428 / SEC#: 801-130244

RIA
Registered Investment Advisory firm - (6/3/2024 Approved)
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Contact information

Main Address
3801 Pga Boulevard Suite 600, Palm Beach Gardens, FL 33410
Mailing Address
Phone number
(800) 380-9342
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (36 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ZEGA ADV PART 2A (4/7/2025)

Regulatory assets under management

Total Number of Accounts1,698
AUM (Assets Under Management)$ 548,799,511

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

ZEGA INVESTMENTS, LLC

CRD#: 330428

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