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Erik John Johnson

Erik John Johnson

AIF®, CFP®
CETERA INVESTMENT ADVISERS
WARWICK, RI
·CRD# 7003971·8 years experience

Professional Summary

Erik John Johnson, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Warwick, Rhode Island and CETERA WEALTH SERVICES, LLC located in Fall River, Massachusetts. Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Erik has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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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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Credentials

AIF®
Accredited Investment Fiduciary
CFP®
Certified Financial PlannerSince 2022

Years of Experience

8 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
1. 117 Metro Ctr Blvd Ste 2008, Warwick, RI 028862. 2 Bank Street, Fall River, MA 027203. 1213 Purchase Street Unit 2, New Bedford, MA 02740
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
1. 2 Bank Street Unit 108, Fall River, MA 027212. 117 Metro Center Boulevard Suite 2008, Warwick, RI 02886
August 10, 2023 - Present
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
RIA
Warwick, RI
October 25, 2018 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
BD
Warwick, RI
September 4, 2018 - August 10, 2023

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Current Firm

CI
CETERA INVESTMENT ADVISERS LLC

CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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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.

1) PIONEER FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/01/2018 ADDRESS: , Warwick RI , United States DESCRIPTION: Agent/Broker 2) EJ PAJAMAS MUSIC POSITION: Singer NATURE: Children's Music Singer INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 02/14/2023 ADDRESS: 36 Normand Street, Dartmouth MA 02747, United States DESCRIPTION: Children's songs that I am posting on iTunes for potential sale. 3) NAME OF OTHER BUSINESS: BOYS AND GIRLS CLUB OF NEW BEDFORD; INVESTMENT RELATED: NO ; ADDRESS: 166 JENNEY STREET NEW BEDFORD, MA 02740; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2026; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RUN MONTHLY MEETING, HELP WITH CHARITABLE EVENTS, COMMUNICATING BETWEEN THE BOARD AND CLUB EMPLOYEES, HELPING MAKE DECISIONS FOR THE CLUB; 4) NAME OF OTHER BUSINESS: TOWN OF DARTMOUTH COUNCIL ON AGING BOARD; INVESTMENT RELATED: NO; ADDRESS: 628 DARTMOUTH STREET DARTMOUTH, MA 02747; NATURE OF BUSINESS: NON PROFIT; START DATE: 11/2024; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 0.25; APX NUMBER OF HOURS DURING TRADING HOURS: 0.25; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, VOTE ON FUNCTIONS FOR THE COUNCIL, HELP SECURE FUNDING AND ESTABLISH COMMUNITY PROGRAMS; 5) NAME OF OTHER BUSINESS: LL BEANS FINANCIAL, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: TAX ENTITY; START DATE: 07/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ENTITY FOR TAX PURPOSES;

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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".
CI
CETERA INVESTMENT ADVISERS LLC

CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - SEC (1/13/1984 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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arizona
(8/13/2025)
RR
Colorado
(8/10/2023)
RR
Connecticut
(8/10/2023)
RR
Florida
(8/11/2023)
RR
Maine
(8/10/2023)
RR
Massachusetts
(8/10/2023)
IAR
Massachusetts
(5/9/2024)
RR
New York
(8/10/2023)
RR
Ohio
(3/27/2024)
RR
Pennsylvania
(8/10/2023)
RR
Rhode Island
(8/10/2023)
IAR
Rhode Island
(8/10/2023)
RR
Vermont
(11/29/2023)
RR
Washington
(8/10/2023)
RR
Wisconsin
(11/18/2024)

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.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2018About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2018About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Erik John Johnson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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Erik John Johnson
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