CJ
CJ

Craig Johnson

50 Years of Experience
Scottsdale, AZ
1 DisclosureBroker

Craig Johnson is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Scottsdale, AZ, with 50 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

14850 North Scottsdale Road, Suite 450, Scottsdale, AZ, 85254

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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
March 2010
Dismissed
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
August 2018 - Present · 7 yrs 9 mos
Stifel, Nicolaus & Company, Incorporated
August 2018 - Present · 7 yrs 9 mos
Stifel, Nicolaus & Company, IncorporatedBroker
August 2018 - Present · 7 yrs 9 mos
Previous Registrations
UBS Financial Services INC.
October 2004 - September 2018 · 13 yrs 11 mos
UBS Financial Services INC.Broker
October 2004 - September 2018 · 13 yrs 11 mos
Wachovia Securities, LLCBroker
July 2003 - November 2004 · 1 yr 4 mos
Wachovia Securities, LLC
July 2003 - November 2004 · 1 yr 4 mos
Prudential Securities IncorporatedBroker
October 1999 - July 2003 · 3 yrs 9 mos
Prudential Securities Incorporated
October 1999 - July 2003 · 3 yrs 9 mos
Painewebber IncorporatedBroker
August 1994 - October 1999 · 5 yrs 2 mos
Dean Witter Reynolds INC.Broker
January 1988 - August 1994 · 6 yrs 7 mos
E. F. Hutton & Company INCBroker
June 1983 - January 1988 · 4 yrs 7 mos
Rauscher Pierce Refsnes, INC.Broker
October 1980 - July 1983 · 2 yrs 9 mos
Oppenheimer & CO., INC.Broker
November 1978 - October 1980 · 1 yr 11 mos
Kidder, Peabody & CO. IncorporatedBroker
May 1978 - December 1978 · 7 mos
Kidder, Peabody & CO., IncorporatedBroker
January 1977 - May 1978 · 1 yr 4 mos
Hornblower & Weeks - Hemphill, Noyes IncorporatedBroker
October 1975 - February 1977 · 1 yr 4 mos
State Registrations24 states
AZCACODCFLINKSKYMAMNMONCNJNMNVNYOHORPATNTXUTWAWI
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.
Craig Johnson - Financial Advisor | TrueAdvisor