DJ
Dominick J. Johnson
INVESCO ADVISERS
Brooklyn, NY
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CRD#: 6758142
DJ
Professional summary
Dominick Jeffery Johnson, CFP® is a registered financial advisor currently at INVESCO ADVISERS, INC. located in Brooklyn, New York and INVESCO DISTRIBUTORS, INC. located in New York, New York.
Dominick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Dominick has worked at 3 firms and has passed the Series 66, 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Dominick Jeffery Johnson's 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®
Experience
Current
February 4, 2022 - Present
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
Brooklyn, NY
Current
February 3, 2022 - Present
INVESCO DISTRIBUTORS, INC.
Office #1: 225 Liberty St 11th Floor, New York, NY 10281BD
CRD#: 7369
NEW YORK, NY
Past
October 11, 2017 - February 1, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Atlanta, GA
Past
August 28, 2017 - February 1, 2022
MORGAN STANLEY
BD
CRD#: 149777
Atlanta, GA
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".
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 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.RR
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
RR
Alabama(2/3/2022)
RR
Alaska(2/3/2022)
RR
Arizona(2/3/2022)
RR
Arkansas(2/3/2022)
RR
California(2/3/2022)
RR
Colorado(2/3/2022)
RR
Connecticut(2/3/2022)
RR
Delaware(2/3/2022)
RR
District of Columbia(2/3/2022)
RR
Florida(2/3/2022)
RR
Georgia(2/3/2022)
IAR
Georgia(2/4/2022)
RR
Hawaii(2/3/2022)
RR
Idaho(2/3/2022)
RR
Illinois(2/3/2022)
RR
Indiana(2/3/2022)
RR
Iowa(2/3/2022)
RR
Kansas(2/3/2022)
RR
Kentucky(2/3/2022)
RR
Louisiana(2/3/2022)
RR
Maine(2/3/2022)
RR
Maryland(2/3/2022)
RR
Massachusetts(2/3/2022)
RR
Michigan(2/3/2022)
RR
Minnesota(2/3/2022)
RR
Mississippi(2/3/2022)
RR
Missouri(2/3/2022)
RR
Montana(2/3/2022)
RR
Nebraska(2/3/2022)
RR
Nevada(2/3/2022)
RR
New Hampshire(2/3/2022)
RR
New Jersey(2/3/2022)
RR
New Mexico(2/3/2022)
RR
New York(2/3/2022)
RR
North Carolina(2/3/2022)
RR
North Dakota(2/3/2022)
RR
Ohio(2/3/2022)
RR
Oklahoma(2/3/2022)
RR
Oregon(2/3/2022)
RR
Pennsylvania(2/3/2022)
RR
Puerto Rico(2/3/2022)
RR
Rhode Island(2/3/2022)
RR
South Carolina(2/3/2022)
RR
South Dakota(2/3/2022)
RR
Tennessee(2/3/2022)
RR
Texas(2/3/2022)
RR
Utah(2/3/2022)
RR
Vermont(2/3/2022)
RR
Virgin Islands(2/3/2022)
RR
Virginia(2/3/2022)
RR
Washington(2/3/2022)
RR
West Virginia(2/3/2022)
RR
Wisconsin(2/3/2022)
RR
Wyoming(2/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
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Contact information
Main Address
1331 Spring Street Nw Suite 2500, Atlanta, GA 30309
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(404) 892-0896
Established
Firm type
Fiscal year end
# of Employees
2,872
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 10/27/2023 |
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.
