Alexis C. Long

WILLIS JOHNSON & ASSOCIATES

Houston, TX 77057

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CRD#: 6383914

Professional summary

Alexis Cathryn Long, CFP®, who also goes by Alexis Cathryn Hazel, Alexis C Long, Alexis Hazel Long, is a registered financial advisor currently at WILLIS JOHNSON & ASSOCIATES, INC. located in Houston, Texas.

Alexis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Alexis has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexis Cathryn Hazel | Alexis C Long | Alexis Hazel Long

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) Career Development Director; Financial Planning Association of Houston; Investment Related: No; Location: P.O. Box 1303, Frisco, Texas 75034; Description: Volunteer organization supporting financial advisors & planners in the Houston area; Duties: Organize Career Days & provide for career opportunities for Houston area financial advisors and planners; Start Date: 4.30.2020; Hours outside trading hours: 16

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexis Cathryn Long'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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

March 20, 2015 - Present

WILLIS JOHNSON & ASSOCIATES, INC.

Office #1: 5847 San Felipe Suite 1500, Houston, TX 77057

RIA

CRD#: 119759

Houston, TX

Past

January 1, 2015 - January 24, 2018

FSC SECURITIES CORPORATION

CRD#: 7461

HOUSTON, TX

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.

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

Texas
(3/20/2015)

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: 2/6/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/29/2014

General Securities 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)

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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.

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Alexis C. Long

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexis Cathryn Long's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILLIS JOHNSON & ASSOCIATES, INC.

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

WILLIS JOHNSON & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/6/2015

SIE

Date: 1/24/2018

Series 7

Date: 12/29/2014

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

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