Mark Aaron Johnson
Professional Summary
Mark Aaron Johnson is a registered financial advisor currently at AEGON ASSET MANAGEMENT US located in Cedar Rapids, Iowa and FORESIDE FUND SERVICES, LLC located in Cedar Rapids, Iowa. Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Mark has worked at 3 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
10 years in the financial services industry
Current & Past Employments
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Current Firm
AAM NA | AEGON USA INVESTMENT MANAGEMENT, LLC | AEGON ASSET MANAGEMENT US | AEGON ASSET MANAGEMENT NORTH AMERICA | AEGON ASSET MANAGEMENT | AEGON AM US | AEGON AM NA | AEGON AM
Contact Information
Main Address
6300 C Street Sw, Cedar Rapids, IA 52499-5338Phone Number
(319) 355-5408# of Employees
217SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
199AUM (Assets Under Management)
$88,799,180,145Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2026 | Cover Page | Report |
| 10/10/2025 | Cover Page | Report |
| 10/28/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AAM NA | AEGON USA INVESTMENT MANAGEMENT, LLC | AEGON ASSET MANAGEMENT US | AEGON ASSET MANAGEMENT NORTH AMERICA | AEGON ASSET MANAGEMENT | AEGON AM US | AEGON AM NA | AEGON AM
State Registrations and Notice Filings
(1/2/2024)
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(11/1/2016)
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(7/30/2018)
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(11/1/2016)
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(9/22/2016)
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(7/30/2018)
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(11/1/2016)
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(1/4/2024)
(1/2/2024)
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(7/30/2018)
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(11/1/2016)
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(11/1/2016)
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(11/1/2016)
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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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Mark Aaron Johnson's CRS (Customer Relationship Summary).
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