Johnson Asase is a registered investment advisor at Guggenheim Investments, based in New York, NY, with 12 years of industry experience. Johnson is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 107 clients with $8B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
42 advisors
IM Fee
Planning only
Assets Under Management
$8.0B
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Location
330 Madison Avenue, 10th Floor, New York, NY, 10017
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Guggenheim Funds Distributors, LLCBroker
April 2026 - Present · 6 mos
Guggenheim Investments
April 2026 - Present · 6 mos
Previous Registrations
New York Life Investment Management LLC
October 2017 - July 2025 · 7 yrs 9 mos
Nylife Distributors LLCBroker
October 2017 - July 2025 · 7 yrs 9 mos
Morgan StanleyBroker
September 2015 - May 2017 · 1 yr 8 mos
Morgan Stanley
September 2015 - May 2017 · 1 yr 8 mos
Morgan Stanley
March 2014 - February 2015 · 11 mos
Morgan StanleyBroker
March 2014 - February 2015 · 11 mos
Rockwell Securities LLCBroker
December 2012 - February 2014 · 1 yr 2 mos
State Registrations4 states
CTILNJNY
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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