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Charles Johnson

Cetera Investment Advisers LLC
38 Years of Experience
Dubois, PA
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Charles Johnson is a ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Dubois, PA, with 38 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

5091 Shaffer Rd, Dubois, PA, 15801

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2017
Denied
Regulatory
July 2007
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Charles is the owner of Fixed Insurance, selling and servicing fixed annuity products, and the owner of Guardian Planners, marketing financial services and selling fixed insurance products; these activities take up nearly all of his time. He is also the author of "Chuckonomics Book" and president/secretary of Truth in Politics PAC, dedicating minimal time to each.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLC
August 2021 - Present · 5 yrs 2 mos
Cetera Wealth Services, LLCBroker
August 2021 - Present · 5 yrs 2 mos
Previous Registrations
Cetera Advisor Networks LLC
September 2021 - June 2023 · 1 yr 9 mos
Kovack Advisors, INC.
June 2010 - August 2021 · 11 yrs 2 mos
Kovack Securities INC.Broker
June 2010 - August 2021 · 11 yrs 2 mos
Npb Financial Group, LLCBroker
August 2007 - June 2010 · 2 yrs 10 mos
Financial Network Investment Corporation
October 2005 - September 2007 · 1 yr 11 mos
Financial Network Investment CorporationBroker
October 2005 - September 2007 · 1 yr 11 mos
Guardian Planners
January 2003 - July 2010 · 7 yrs 6 mos
Blue Vase Securities, LLCBroker
January 2003 - October 2005 · 2 yrs 9 mos
Investors Capital CORP.Broker
September 1994 - December 2002 · 8 yrs 3 mos
Pruco Securities CorporationBroker
March 1988 - September 1994 · 6 yrs 6 mos
The Prudential Insurance Company of AmericaBroker
March 1988 - December 1993 · 5 yrs 9 mos
State Registrations7 states
COFLINNYOHPAVA
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.
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