Joseph N. Johnston

EVEREST FINANCIAL GROUP

Minneapolis, MN 55416-1029

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CRD#: 7120994

Professional summary

Joseph Norman Johnston, who also goes by Joe Johnston, Joseph Johnston, is a registered financial advisor currently at EVEREST FINANCIAL GROUP located in Minneapolis, Minnesota and OSAIC WEALTH, INC. located in Minneapolis, Minnesota.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Joseph has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Johnston | Joseph Johnston

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.

EVEREST FINANCIAL GROUP POSITION: IRA NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/2021 ADDRESS: 701 Xenia Ave. S, Suite 250, Golden Valley MN 55416, United States DESCRIPTION: Independent RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Norman Johnston'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

October 18, 2021 - Present

EVEREST FINANCIAL GROUP

Office #1: 701 Xenia Ave S Suite 250, Minneapolis, MN 55416-1029

RIA

CRD#: 137260

Minneapolis, MN

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 701 Xenia Ave S Ste 250, Minneapolis, MN 55416

RIA

CRD#: 23131

MINNEAPOLIS, MN

Past

December 9, 2019 - December 3, 2021

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

MINNEAPOLIS, MN

Past

November 7, 2019 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

MINNEAPOLIS, MN

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".

EVEREST FINANCIAL GROUP

EVEREST FINANCIAL GROUP | SINCERE FINANCIAL LTD | EVEREST FINANCIAL GROUP LLC

CRD#: 137260 / SEC#: 801-67635

RIA

Registered Investment Advisory firm - (3/30/2007 Approved)

California

Registered Investment Advisory firm - (5/8/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(6/14/2024)

IAR

Minnesota
(10/18/2021)

Minnesota
(6/14/2024)

Nevada
(11/21/2024)

North Dakota
(6/14/2024)

Vermont
(6/14/2024)

Virginia
(9/5/2024)

Wisconsin
(6/14/2024)

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

State Security Law Exam

IAR

Series 66

Date: 12/3/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/7/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/13/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

EVEREST FINANCIAL GROUP

EVEREST FINANCIAL GROUP | SINCERE FINANCIAL LTD | EVEREST FINANCIAL GROUP LLC

CRD#: 137260 / SEC#: 801-67635

RIA

Registered Investment Advisory firm - (3/30/2007 Approved)

California

Registered Investment Advisory firm - (5/8/2007 Terminated)

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Contact information

Main Address

701 Xenia Ave S Suite 250, Minneapolis, MN 55416-1029

Mailing Address

Phone number

(763) 923-7525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVEREST FINANCIAL GROUP ADV BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	4,667
AUM (Assets Under Management)	$ 912,366,781

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

Joseph N. Johnston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Norman Johnston's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

EVEREST FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 12/3/2019

Series 7TO

Date: 11/7/2019

SIE

Date: 9/13/2019

FINRA

Current Firm

EVEREST FINANCIAL GROUP

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EVEREST FINANCIAL GROUP

TRUST BUT VERIFY

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