CJ
C. L. Johnson
HAZLETT, BURT & WATSON
VIENNA, WV 26105
Some features on this profile are disabled
CRD#: 724293
CJ
Professional summary
C. Lewis Johnson, who also goes by C Lewis Johnson, Carl Lewis Johnson, Lew Johnson, is a registered financial advisor currently at HAZLETT, BURT & WATSON, INC. located in Vienna, West Virginia.
C. is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. C. has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
C Lewis Johnson | Carl Lewis Johnson | Lew 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view C. Lewis Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view C. Lewis 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
June 2, 2009 - Present
HAZLETT, BURT & WATSON, INC.
Office #1: 1100 9th Street Unit I, Vienna, WV 26105RIA
BD
CRD#: 396
VIENNA, WV
Current
June 1, 2009 - Present
HAZLETT, BURT & WATSON, INC.
Office #1: 1100 9th Street Unit I, Vienna, WV 26105RIA
BD
CRD#: 396
VIENNA, WV
Past
January 26, 1998 - June 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
VIENNA, WV
Past
August 1, 1997 - June 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
VIENNA, WV
Past
February 23, 1981 - July 30, 1997
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
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".
HAZLETT, BURT & WATSON, INC.
HAZLETT, BURT & WATSON, INC. | SECURITY CAPITAL MANAGEMENT
CRD#: 396 / SEC#: 801-66333, 8-17737
RIA
Registered Investment Advisory firm - SEC (3/29/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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(8/19/2015)
RR
Florida(6/1/2009)
RR
Georgia(7/10/2014)
RR
Kentucky(10/17/2018)
RR
Minnesota(1/2/2025)
RR
North Carolina(4/16/2024)
RR
Ohio(6/1/2009)
RR
Pennsylvania(6/1/2009)
RR
South Carolina(11/27/2015)
RR
Texas(2/22/2019)
RR
West Virginia(6/1/2009)
IAR
West Virginia(6/2/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 9/24/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/28/1984
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
HAZLETT, BURT & WATSON, INC.
HAZLETT, BURT & WATSON, INC. | SECURITY CAPITAL MANAGEMENT
CRD#: 396 / SEC#: 801-66333, 8-17737
RIA
Registered Investment Advisory firm - SEC (3/29/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1300 Chapline Street, Wheeling, WV 26003
Mailing Address
1300 Chapline Street, Wheeling, WV 26003
Phone number
(304) 233-3312
Established
West Virginia since 09/06/1973
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
19
SEC notice filing (15 States and Territories)
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HB&W, INC. | PARENT COMPANY | |
| BARICKMAN, MICHAEL THOMPSON | EXEC VP / DIRECTOR | 1535665 |
| BIDWELL, TIMOTHY MORGAN | EXEC VP / CFO / CHIEF COMPLIANCE OFFICER / DIRECTOR | 4296834 |
| BURECH, HAROLD BRUCE | DIRECTOR /SR VP | 856313 |
| ECHOLS, MARILYNN SUE | EXECUTIVE VICE PRESIDENT / DIRECTOR | 818946 |
| MARSH, JASON LEE | CHAIRMAN / CEO / DIRECTOR | 4792963 |
| WEAVER, GEORGE SPERRY III | SR EXEC VP / DIRECTOR | 1061710 |
Regulatory assets under management
| Total Number of Accounts | 2,314 |
| AUM (Assets Under Management) | $ 1,197,878,280 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 12/19/2023 | ||
| 11/30/2022 |
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.
