Stephen R. Johnson

VICTORY FINANCIAL

Houston, TX 77008

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CRD#: 6611351

Professional summary

Stephen Randall Johnson is a registered financial advisor currently at VICTORY FINANCIAL located in Houston, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Stephen has worked at 3 firms and has passed the Series 66, Series 63, 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.

1.) Victory Financial Group DBA Capitalwise Wealth Management. Investment Related. At Registered Location. RIA. IAR. 12/2024. 150. 150. Financial Advisor. 2.) Fixed Insurance. Investment- Related. At Registered Location. Fixed/Traditional Insurance. Agent. 1/2025. 10. 10. Provide Insurance advise based on client need.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Randall 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®

None

Experience

Current

December 19, 2024 - Present

VICTORY FINANCIAL

Office #1: 802 W. 17th Street, Unit 200, Houston, TX 77008

RIA

CRD#: 324943

Houston, TX

Current

January 24, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 802 W 17th Street Unit 200, Houston, TX 77008

CRD#: 35747

ALBANY, NY

Past

February 8, 2022 - December 20, 2024

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

CONROE, TX

Past

April 18, 2016 - December 20, 2024

EQUITABLE ADVISORS, LLC

CRD#: 6627

CONROE, 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".

VICTORY FINANCIAL

CRD#: 324943 / SEC#: 801-127385

RIA

Registered Investment Advisory firm - (2/24/2023 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

Georgia
(1/24/2025)

IAR

Texas
(12/19/2024)

Texas
(1/24/2025)

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: 2/7/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/24/2016

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: 4/18/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VICTORY FINANCIAL

CRD#: 324943 / SEC#: 801-127385

RIA

Registered Investment Advisory firm - (2/24/2023 Approved)

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Contact information

Main Address

6500 River Place Blvd. Bldg. 1, Ste. 203, Austin, TX 78730

Mailing Address

Phone number

(512) 763-7671

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR VICTORY FINANCIAL GROUP LLC (11/3/2025)

Regulatory assets under management

Total Number of Accounts	4,210
AUM (Assets Under Management)	$ 687,641,583

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

Stephen R. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Randall Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

VICTORY FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 2/7/2022

Series 63

Date: 6/24/2016

SIE

Date: 10/1/2018

Series 7

Date: 4/18/2016

FINRA

Current Firm

VICTORY FINANCIAL

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VICTORY FINANCIAL

TRUST BUT VERIFY

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