Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Craig Johnson is a financial advisor registered with Cetera Investment Advisers LLC. Stephen has been in the financial services industry since 1986. Stephen has been associated with Cetera Investment Advisers LLC since 2021. Stephen provides financial planning services. Stephen holds several licenses and certifications, including Series 3, 7, 9, 10, 24, 63, and 65, Stephen has held prior positions with PNC Investments, BBVA Securities Inc., BBVA Compass Investment Solutions, Inc, BANC of America Investment Services, Inc., CUNA Brokerage Services, Inc., BANC ONE SECURITIES CORPORATION, BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION, OLDE DISCOUNT CORPORATION, and SHEARSON LEHMAN BROTHERS INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
AZ
01/11/2023 - Present
Cetera Investment Advisers LLC (CHANDLER AZ)
AZ
08/16/2021 - 01/11/2022
PNC INVESTMENTS (GILBERT AZ)
AZ
05/16/2013 - 08/16/2021
BBVA SECURITIES INC. (CHANDLER AZ)
AZ
09/27/2005 - 05/16/2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC (MESA AZ)
MA
11/01/1999 - 09/27/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
IA
02/01/1999 - 11/09/1999
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
IL
02/01/1996 - 02/02/1999
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NA
05/19/1993 - 02/01/1996
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
MI
10/13/1987 - 05/20/1993
OLDE DISCOUNT CORPORATION (DETROIT MI)
NA
01/21/1986 - 10/27/1987
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 12/22/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/22/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 4/28/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/28/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 6/18/1992
Series 4 - Registered Options Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/3/1986
Series 3 - National Commodity Futures Examination
BC
Issued 1/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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