Alex R. Johnson

SHIFT FYNANCIAL

Jamestown, NY

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CRD#: 5956917

Professional summary

Alex Robert Johnson is a registered financial advisor currently at SHIFT FYNANCIAL located in Jamestown, New York.

Alex is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Alex has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 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.

HPSA Acumen, Inc, PO Box 274, Jamestown NY 14701, New Project Manager, non investment related, time devoted-70%, duties- project manager for HPSA Acumen, Inc. This includes hospital consulting product sales. start date-11/14/17, hrs per mo-160, hrs during trading hrs-160,

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Robert 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®

None

Experience

Current

March 24, 2022 - Present

SHIFT FYNANCIAL

RIA

CRD#: 304594

Jamestown, NY

Past

February 11, 2016 - October 4, 2017

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Jamestown, NY

Past

November 10, 2014 - October 9, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

JAMESTOWN, NY

Past

February 20, 2013 - October 9, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

JAMESTOWN, NY

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

New York
(3/24/2022)

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 65

Date: 9/6/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/4/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/19/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHIFT FYNANCIAL

SHIFT FYNANCIAL | SHIFT FYNANCIAL, INC

CRD#: 304594 / SEC#:

New York

Registered Investment Advisory firm - (11/1/2019 Approved)

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Contact information

Main Address

Jamestown, NY

Mailing Address

Phone number

(716) 499-5300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Alex R. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SHIFT FYNANCIAL

ALLSTATE FINANCIAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2019

Series 63

Date: 3/4/2013

SIE

Date: 10/4/2017

Series 6

Date: 2/19/2013

Current Firm

SHIFT FYNANCIAL

Contact information

Documents

Red Flags

Company Information

SHIFT FYNANCIAL

TRUST BUT VERIFY

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