Elizabeth S. Johnston

OSAIC WEALTH

Normal, IL

Some features on this profile are disabled

CRD#: 7693161

Professional summary

Elizabeth S Johnston, who also goes by Elizabeth Schaffer Prince, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Normal, Illinois.

Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Elizabeth has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Elizabeth Schaffer Prince

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.

1. McLean County Government; non-investment related; 115 E Washington St, Bloomington, IL 61701; Local elected official; Vice-chair of County Board; 12/2018 to present; 10 hours /month commitment; 0 hours/month during security trading hours; serve on Health and Executive committees and Full Board for McLean County; 2. Center for Healing and Wellness PLLC; non-investment related; 207 W. Jefferson St, Suite 315, Bloomington, IL 61701; sole proprietor and provider; 01/2023 to present; 20 hours/month commitment; 8 hours/month during security trading hours on Friday afternoons from 1-3pm Central time; provide individual, couples, family counseling. 3. CENTER FOR HEALING AND WELLNESS, PLLC POSITION: Owner/Sole Counselor NATURE: Single member PLLC INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 8 START DATE: 01/19/2023 ADDRESS: 207 W. Jefferson St, Suite 315, Bloomington IL 61701, United States DESCRIPTION: This is my small private practice for counseling with my LCSW license. I see up to 5 clients a week on Friday afternoons. 4. JOHNSTON FINANCIAL SERVICES POSITION: Registered Representative NATURE: This business is a single member LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2024 ADDRESS: 1416 Godfrey Drive, Normal IL 61761, United States DESCRIPTION: I am working with Karen M Fleming and her clients mutual funds. We do work directly on OSAIC platforms, and I am establishing my own book of clients for my Johnston Financial Services LLC with the same investment tools. At this time, I am only utilizing OSAIC services, products and platforms. However, I will be seeking my Life & Health Insurance licensing this summer so that I can make long term care and annuity options available to clients, when appropriate. 5. MCLEAN COUNTY GOVERNMENT POSITION: Local elected official/ Chair NATURE: This is a local government entity. INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 2 START DATE: 12/03/2018 ADDRESS: 115 E Washington St, Bloomington IL 61701, United States DESCRIPTION: I serve on Executive committee and Full Board for McLean County?. Our committeesoversee the County Government departments and approve contracts for maintenance, special projects, and intergovernmental agreements with other local government. When municipal bonds are issued, they are the operations of a separate entity called the Public Building Commission that owns and operates County Property. Investment choices are solely within the Treasurer's purview and only presented to the board for information, not approval.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth S Johnston's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Elizabeth S 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

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #2: 207 W Jefferson St Suite 312 , Bloomington, IL 61701

RIA

CRD#: 23131

Normal, IL

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #2: 207 W Jefferson St Suite 312 , Bloomington, IL 61701

RIA

CRD#: 23131

Normal, IL

Past

November 22, 2023 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

NORMAL, IL

Past

August 31, 2023 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

NORMAL, IL

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

Alabama
(1/2/2025)

Arizona
(1/2/2025)

Arkansas
(7/23/2024)

California
(1/2/2025)

Colorado
(1/2/2025)

Delaware
(1/2/2025)

Florida
(7/26/2024)

Georgia
(1/2/2025)

Illinois
(1/19/2024)

IAR

Illinois
(1/19/2024)

Indiana
(1/2/2025)

Iowa
(1/2/2025)

Kansas
(1/2/2025)

Louisiana
(1/2/2025)

Michigan
(1/2/2025)

Minnesota
(1/2/2025)

Mississippi
(7/10/2024)

Missouri
(1/2/2025)

Nebraska
(1/2/2025)

New Mexico
(1/2/2025)

Ohio
(1/2/2025)

Oregon
(1/2/2025)

Pennsylvania
(7/28/2025)

South Carolina
(9/27/2024)

Texas
(1/30/2024)

Washington
(1/2/2025)

Wisconsin
(1/2/2025)

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: 11/21/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/31/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/6/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Robert Burns

J.P. MORGAN SECURITIES LLC

IAR

Palm Beach Gardens, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Elizabeth S. Johnston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth S Johnston's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Elizabeth S Johnston's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2023

Series 7TO

Date: 8/31/2023

SIE

Date: 4/6/2023

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors