SJ
Shaun S. Johnson
FIERA CAPITAL
San Diego, CA
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CRD#: 6892774
SJ
Professional summary
Shaun Stephen Johnson, who also goes by Shaun Johnson, is a registered financial advisor currently at FIERA CAPITAL INC. located in San Diego, California and FORESIDE FUND SERVICES, LLC located in Portland, Maine.
Shaun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Shaun has worked at 5 firms and has passed the Series 63, Series 65, Series 3, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shaun Johnson
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.
Fiera Capital; Investment Related; San Diego, CA; Started 10/2023; Senior Principal; Educating financial intermediaries on the strategies and services of the firm; 160 hours per month with 0 hours during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Shaun Stephen 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®
NoneExperience
Current
November 6, 2023 - Present
FIERA CAPITAL INC.
RIA
CRD#: 113638
San Diego, CA
Current
November 2, 2023 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101BD
CRD#: 46106
Portland, ME
Past
May 2, 2022 - October 20, 2023
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC
RIA
CRD#: 104559
Solana Beach, CA
Past
January 2, 2019 - October 20, 2023
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
SOLANA BEACH, CA
Past
August 29, 2018 - December 31, 2018
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Solana Beach, CA
Past
February 2, 2018 - April 29, 2022
GURTIN MUNICIPAL BOND MANAGEMENT
RIA
CRD#: 143597
SOLANA BEACH, CA
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".
FC
FIERA CAPITAL INC.
APEX CAPITAL MANAGEMENT | WILKINSON OGRADY & CO. INC. | WILKINSON O'GRADY & CO., INC. | SAMSON CAPITAL ADVISORS LLC | FIERA CAPITAL INC. | FIERA CAPITAL GLOBAL ASSET MANAGEMENT
CRD#: 113638 / SEC#: 801-8948
RIA
Registered Investment Advisory firm - (12/22/1972 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(11/2/2023)
RR
Alaska(11/2/2023)
RR
Arizona(11/2/2023)
RR
Arkansas(11/2/2023)
RR
California(11/2/2023)
IAR
California(11/6/2023)
RR
Colorado(11/2/2023)
RR
Connecticut(11/2/2023)
RR
Delaware(11/2/2023)
RR
District of Columbia(11/2/2023)
RR
Florida(11/2/2023)
RR
Georgia(11/2/2023)
RR
Hawaii(11/2/2023)
RR
Idaho(11/2/2023)
RR
Illinois(11/2/2023)
RR
Indiana(11/2/2023)
RR
Iowa(11/2/2023)
RR
Kansas(11/2/2023)
RR
Kentucky(11/2/2023)
RR
Louisiana(11/2/2023)
RR
Maine(11/2/2023)
RR
Maryland(11/2/2023)
RR
Massachusetts(11/2/2023)
RR
Michigan(11/2/2023)
RR
Minnesota(11/2/2023)
RR
Mississippi(11/2/2023)
RR
Missouri(11/2/2023)
RR
Montana(11/6/2023)
RR
Nebraska(11/2/2023)
RR
Nevada(11/2/2023)
RR
New Hampshire(11/2/2023)
RR
New Jersey(11/2/2023)
RR
New Mexico(11/2/2023)
RR
New York(11/2/2023)
RR
North Carolina(11/2/2023)
RR
North Dakota(11/2/2023)
RR
Ohio(11/2/2023)
RR
Oklahoma(11/2/2023)
RR
Oregon(11/2/2023)
RR
Pennsylvania(11/2/2023)
RR
Rhode Island(11/2/2023)
RR
South Carolina(11/2/2023)
RR
South Dakota(11/2/2023)
RR
Tennessee(11/2/2023)
RR
Texas(11/2/2023)
RR
Utah(11/2/2023)
RR
Vermont(11/2/2023)
RR
Virginia(11/2/2023)
RR
Washington(11/2/2023)
RR
West Virginia(11/2/2023)
RR
Wisconsin(11/2/2023)
RR
Wyoming(11/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/24/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FIERA CAPITAL INC.
APEX CAPITAL MANAGEMENT | WILKINSON OGRADY & CO. INC. | WILKINSON O'GRADY & CO., INC. | SAMSON CAPITAL ADVISORS LLC | FIERA CAPITAL INC. | FIERA CAPITAL GLOBAL ASSET MANAGEMENT
CRD#: 113638 / SEC#: 801-8948
RIA
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Contact information
Main Address
477 Madison Avenue Suite 720, New York, NY 10022
Mailing Address
Phone number
(212) 300-1600
Established
Firm type
Fiscal year end
# of Employees
109
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,176 |
| AUM (Assets Under Management) | $ 19,556,063,153 |
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.
