Lynsey M. Bergeron-honey

Some features on this profile are disabled

CRD#: 6104171

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.

Lynsey Michelle Bergeron-honey, CFP®, who also goes by Lynsey M Bergeron, was a registered financial professional .

Lynsey is a previously registered financial professional and started their career in finance in 2012. Lynsey had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lynsey M Bergeron

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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Past

July 7, 2022 - July 6, 2023

WILLIS JOHNSON & ASSOCIATES, INC.

RIA

CRD#: 119759

HOUSTON, TX

Past

February 24, 2020 - March 9, 2021

VALMARK SECURITIES, INC.

CRD#: 31243

HOUSTON, TX

Past

July 31, 2018 - May 31, 2022

ALTRUVISTA LLC

RIA

CRD#: 154576

HOUSTON, TX

Past

April 5, 2018 - July 12, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HOUSTON, TX

Past

July 9, 2015 - July 12, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HOUSTON, TX

Past

September 10, 2014 - August 10, 2015

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

September 7, 2012 - September 8, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

OVERLAND PARK, KS

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".

WILLIS JOHNSON & ASSOCIATES, INC.

JOHNSON, BENDER & COMPANY | WILLIS JOHNSON & ASSOCIATES, INC.

CRD#: 119759 / SEC#: 801-66191

RIA

Registered Investment Advisory firm - (2/9/2006 Approved)

Texas

Registered Investment Advisory firm - (3/2/2006 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 10/9/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/30/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/6/2012

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WILLIS JOHNSON & ASSOCIATES, INC.

JOHNSON, BENDER & COMPANY | WILLIS JOHNSON & ASSOCIATES, INC.

CRD#: 119759 / SEC#: 801-66191

RIA

Registered Investment Advisory firm - (2/9/2006 Approved)

Texas

Registered Investment Advisory firm - (3/2/2006 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

5847 San Felipe Suite 1500, Houston, TX 77057

Mailing Address

Phone number

(713) 439-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WJA ADV 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	2,377
AUM (Assets Under Management)	$ 1,419,970,309

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lynsey M. Bergeron-honey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALMARK SECURITIES, INC.

ALTRUVISTA LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

Primary Firm SEC Registration

WILLIS JOHNSON & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/9/2012

SIE

Date: 7/12/2018

Series 7

Date: 6/30/2014

Series 6

Date: 9/6/2012

Current Firm

WILLIS JOHNSON & ASSOCIATES, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WILLIS JOHNSON & ASSOCIATES, INC.

TRUST BUT VERIFY

Similar Advisors