SJ
SJ
Stephen Johnson
40 Years of Experience
Chandler, AZ
2 DisclosuresBroker
Stephen Johnson is a registered investment advisor at Cetera Investment Advisers LLC, based in Chandler, AZ, with 40 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
4900 S Gilbert Ave, Chandler, AZ, 85249
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Regulatory History (2)
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Customer Dispute
June 2011Withdrawn
Customer Dispute
October 2008Denied
Other Business Activities
Stephen serves as the successor trustee of his parents' trust, the Beckman Revocable Living Trust. This activity is not investment-related.
Employment History
Current Registrations
Cetera Investment Advisers LLC
January 2022 - Present · 4 yrs 4 mos
Cetera Investment Services LLCBroker
January 2022 - Present · 4 yrs 4 mos
Previous Registrations
PNC Investments
August 2021 - January 2022 · 5 mos
PNC InvestmentsBroker
August 2021 - January 2022 · 5 mos
Bbva Securities INC.Broker
May 2013 - August 2021 · 8 yrs 3 mos
PNC Managed Account Solutions, INC.
October 2010 - August 2021 · 10 yrs 10 mos
St Johns Wealth Management
August 2010 - October 2010 · 2 mos
Bbva Compass Investment Solutions, INCBroker
September 2005 - May 2013 · 7 yrs 8 mos
Banc of America Investment Services, INC.
August 2002 - September 2005 · 3 yrs 1 mo
Banc of America Investment Services, INC.Broker
November 1999 - September 2005 · 5 yrs 10 mos
CUNA Brokerage Services, INC.Broker
February 1999 - November 1999 · 9 mos
Banc One Securities CorporationBroker
February 1996 - February 1999 · 3 yrs
Banc One Arizona Investment Services CorporationBroker
May 1993 - February 1996 · 2 yrs 9 mos
Olde Discount CorporationBroker
October 1987 - May 1993 · 5 yrs 7 mos
Shearson Lehman Brothers INC.Broker
January 1986 - October 1987 · 1 yr 9 mos
State Registrations8 states
AZCACOIDNVOHTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.