Marcus F. Johnson
JOHNSON FINANCIAL ADVISORS
TEMPE, AZ 85281
Some features on this profile are disabled
CRD#: 5795303
Professional summary
Marcus F. Johnson, CFP® is a registered financial advisor currently at JOHNSON FINANCIAL ADVISORS located in Tempe, Arizona and OSAIC WEALTH, INC. located in Tempe, Arizona.
Marcus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Marcus has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
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.
1. JOHNSON FINANCIAL ADVISORS - IAR 2. JOHNSON FINANCIAL ADVISORS, FINANCIAL PLANNING, VICE PRESIDENT OF INVESTMENTS & ADVISOR, TIME SPENT 50% 3. JOHNSON FINANCIAL ADVISORS POSITION: Sales NATURE: Insurance broker - sales of life insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2010 ADDRESS: 1095 W Rio Salado Pkwy #201, Tempe AZ 85281 DESCRIPTION: Insurance broker - sales of life insurance 4. JOHNSON FINANCIAL ADVISORS - RIA POSITION: Vice President of Investments NATURE: Registered Investment Advisory firm INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 05/01/2010 ADDRESS: 1095 W Rio Salado Pkwy #201, Tempe AZ 85281, United States DESCRIPTION: Investment advisor - trading, managing client accounts, etc
CRS (Client Relationship Summary) - RIA
Click below to view Marcus F. 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: 2014
Experience
Current
March 1, 2012 - Present
JOHNSON FINANCIAL ADVISORS
Office #1: 1095 W Rio Salado Pkwy Ste 201, Tempe, AZ 85281RIA
CRD#: 104621
TEMPE, AZ
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 1095 W Rio Salado Parkway Suite 201, Tempe, AZ 85281-2610RIA
BD
CRD#: 23131
TEMPE, AZ
Past
November 12, 2010 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
TEMPE, AZ
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".
JF
JOHNSON FINANCIAL ADVISORS
JOHNSON FINANCIAL ADVISORS | PHILIP O. JOHNSON & COMPANY, LTD. | JOHNSON PHILIP O & CO. LTD.
CRD#: 104621 / SEC#: 801-113449
RIA
Registered Investment Advisory firm - (6/15/2018 Approved)Arizona
Registered Investment Advisory firm - (6/27/2018 Terminated)Louisiana
Registered Investment Advisory firm - (6/28/2018 Terminated)Texas
Registered Investment Advisory firm - (6/27/2018 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.RR
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
IAR
Arizona(3/1/2012)
RR
Arizona(6/14/2024)
RR
California(6/14/2024)
RR
Colorado(6/14/2024)
RR
Idaho(6/14/2024)
RR
Illinois(6/14/2024)
RR
Kansas(6/14/2024)
RR
Kentucky(6/14/2024)
RR
Nebraska(6/14/2024)
RR
Nevada(4/3/2025)
RR
New Jersey(6/14/2024)
RR
New Mexico(6/14/2024)
RR
New York(6/14/2024)
RR
Oklahoma(6/14/2024)
RR
Oregon(6/14/2024)
RR
Pennsylvania(6/14/2024)
RR
South Carolina(6/14/2024)
IAR
Texas(4/9/2019)
RR
Texas(6/14/2024)
RR
Utah(6/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JF
JOHNSON FINANCIAL ADVISORS
JOHNSON FINANCIAL ADVISORS | PHILIP O. JOHNSON & COMPANY, LTD. | JOHNSON PHILIP O & CO. LTD.
CRD#: 104621 / SEC#: 801-113449
RIA
Registered Investment Advisory firm - (6/15/2018 Approved)Arizona
Registered Investment Advisory firm - (6/27/2018 Terminated)Louisiana
Registered Investment Advisory firm - (6/28/2018 Terminated)Texas
Registered Investment Advisory firm - (6/27/2018 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1095 W Rio Salado Parkway Suite 201, Tempe, AZ 85281-2610
Mailing Address
Phone number
(602) 242-4000
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 678 |
| AUM (Assets Under Management) | $ 242,602,861 |
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.
