Brock C. Johns

FIRST TRUST ADVISORS LP

AUSTIN, TX 78701

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CRD#: 6191495

Professional summary

Brock Clinton Johns, who also goes by Brock Clintion Johns, Brock Johns, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Austin, Texas and FIRST TRUST PORTFOLIOS L.P. located in Austin, Texas.

Brock is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Brock has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brock Clintion Johns | Brock Johns

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.

OTHER BUSINESS NAME: PERSONAL RENTAL PROPERTY. LOCATION: DRIPPING SPRINGS, TX. NATURE OF BUSINESS: RENTAL PROPERTY. POSITON OR TITLE: OWNER. RESPONSIBILITITES: GENERAL MAINTANTED OF THE HOME AND RECEIVING RENTAL INCOME FROM THE PROPERTY. START DATE: OCT 24, 2023. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Clinton Johns'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®

None

Experience

Current

October 9, 2023 - Present

FIRST TRUST ADVISORS LP

Office #1: Ibc Building 500 West 5th Street 8th Floor, Austin, TX, 78701

RIA

CRD#: 107027

AUSTIN, TX

Current

October 9, 2023 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: Ibc Building 500 West 5th Street 8th Floor, Austin, TX, 78701

CRD#: 28519

Austin, TX

Past

December 2, 2022 - July 24, 2023

EMPOWER WEALTH MANAGEMENT

RIA

CRD#: 305031

Cedar Park, TX

Past

May 12, 2022 - December 16, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

DRIPPING SPRINGS, TX

Past

May 12, 2022 - December 16, 2022

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 14, 2021 - April 28, 2022

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Scottsdale, AZ

Past

October 14, 2021 - April 28, 2022

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

April 30, 2021 - August 17, 2021

SWBC INVESTMENT ADVISORY SERVICES LLC

RIA

CRD#: 156155

AUSTIN, TX

Past

August 13, 2019 - April 30, 2021

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

February 5, 2018 - May 31, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Austin, TX

Past

July 19, 2017 - May 31, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Austin, TX

Past

December 4, 2015 - May 10, 2017

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LAKE OSWEGO, OR

Past

July 15, 2014 - December 21, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

WILSONVILLE, OR

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".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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.

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

Illinois
(10/9/2023)

IAR

Illinois
(10/16/2023)

Texas
(10/9/2023)

IAR

Texas
(10/9/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/5/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/14/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/15/2014

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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

Brock C. Johns

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Clinton Johns's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

EMPOWER WEALTH MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

SWBC INVESTMENT ADVISORY SERVICES LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

VOYA FINANCIAL ADVISORS, INC.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 2/5/2018

Series 63

Date: 5/14/2015

SIE

Date: 10/1/2018

Series 7

Date: 10/9/2017

Series 6

Date: 7/15/2014

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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