Alex C. Johnson

NORTHWEST WEALTH MANAGEMENT

Spencer, IA 51301

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CRD#: 5874851

Professional summary

Alex Curtis Johnson, AIF®, CFP® is a registered financial advisor currently at NORTHWEST WEALTH MANAGEMENT, LLC located in Spencer, Iowa.

Alex is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Alex 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Curtis 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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

February 10, 2022 - Present

NORTHWEST WEALTH MANAGEMENT, LLC

Office #1: 705 Grand Avenue, Spencer, IA 51301

RIA

CRD#: 152816

Spencer, IA

Past

November 29, 2017 - February 25, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

SPENCER, IA

Past

November 29, 2017 - February 25, 2022

LPL FINANCIAL LLC

CRD#: 6413

SPENCER, IA

Past

September 4, 2012 - November 29, 2017

INVESTMENT CENTERS OF AMERICA, INC.

RIA

CRD#: 16443

SPENCER, IA

Past

June 13, 2012 - November 29, 2017

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

SPENCER, IA

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".

NORTHWEST WEALTH MANAGEMENT, LLC

CRD#: 152816 / SEC#: 801-72545

RIA

Registered Investment Advisory firm - (7/5/2011 Approved)

Indiana

Registered Investment Advisory firm - (7/12/2011 Terminated)

Iowa

Registered Investment Advisory firm - (7/18/2011 Terminated)

Nebraska

Registered Investment Advisory firm - (8/31/2011 Terminated)

South Dakota

Registered Investment Advisory firm - (7/12/2011 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Iowa
(2/10/2022)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/31/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/12/2012

General Securities Representative Examination

Current Firm

NORTHWEST WEALTH MANAGEMENT, LLC

CRD#: 152816 / SEC#: 801-72545

RIA

Registered Investment Advisory firm - (7/5/2011 Approved)

Indiana

Registered Investment Advisory firm - (7/12/2011 Terminated)

Iowa

Registered Investment Advisory firm - (7/18/2011 Terminated)

Nebraska

Registered Investment Advisory firm - (8/31/2011 Terminated)

South Dakota

Registered Investment Advisory firm - (7/12/2011 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2011 Terminated)

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Contact information

Main Address

1607 W. 18th Street, Spencer, IA 51301

Mailing Address

Phone number

(877) 207-0994

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (3/5/2025)

Regulatory assets under management

Total Number of Accounts	4,063
AUM (Assets Under Management)	$ 865,221,987

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.

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Advisor Monitoring

Firm Stability Insights

Alex C. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Curtis Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVESTMENT CENTERS OF AMERICA, INC.

INVESTMENT CENTERS OF AMERICA, INC.

Primary Firm SEC Registration

NORTHWEST WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/31/2012

SIE

Date: 10/1/2018

Series 7

Date: 6/12/2012

Current Firm

NORTHWEST WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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