HJ
CFP
HJ
CFP

Hal Johnson

30 Years of Experience
Nashville, TN
1 DisclosureBroker

Hal Johnson is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Nashville, TN, with 30 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3365 advisors
Number of Clients
222,322 clients
Average Client Portfolio
$770K average
Assets Under Management
$171.2B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)

Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.

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Location

3102 West End Avenue, Suite 700, Nashville, TN, 37203

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History

Regulatory History (1)
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
July 2016
Denied
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
August 2006 - Present · 19 yrs 9 mos
Stifel, Nicolaus & Company, IncorporatedBroker
August 2006 - Present · 19 yrs 9 mos
Previous Registrations
Amsouth Investment Management Company LLC
July 2003 - August 2006 · 3 yrs 1 mo
Amsouth Investment Services, INC.
February 2003 - August 2003 · 6 mos
Amsouth Investment Services, INC.Broker
February 2000 - August 2006 · 6 yrs 6 mos
Invest Financial CorporationBroker
February 1997 - February 2000 · 3 yrs
Ameristar Capital Markets, INC.Broker
June 1995 - February 1997 · 1 yr 8 mos
State Registrations35 states
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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.
Hal Johnson - Financial Advisor | TrueAdvisor