Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Robert Johnson is a financial advisor currently working for CWM, LLC based in Omaha, Nebraska. Stephen has over 10 years of experience in the financial services industry. Prior to joining CWM, LLC, Stephen held positions at several firms including People's Securities, Inc., GFA Securities, LLC, MetLife Securities Inc., and Pruco Securities, LLC. Stephen is registered as an Investment Advisor Representative in Connecticut and New Jersey. Stephen is a licensed securities professional and holds Series 6, 7, 63 and 65 licenses. Stephen's areas of expertise include portfolio management for individuals, selection of other advisors, and sub-advisory services for other investment advisory firms. Stephen's clients include high-net-worth individuals, corporations or other businesses, and pension and profit-sharing plans.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Sub-advisory services for other investment advisory firms
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.
Solicitor fees from other investment advisors
1
2
NE
09/17/2024 - Present
CWM, LLC (OMAHA NE)
NY
11/02/2016 - 09/07/2022
PEOPLE'S SECURITIES, INC. (New York NY)
NY
03/15/2016 - 11/29/2016
GFA SECURITIES, LLC (NEW YORK NY)
CT
11/02/2011 - 03/03/2016
METLIFE SECURITIES INC. (STAMFORD CT)
CT
08/19/2010 - 09/16/2011
PRUCO SECURITIES, LLC. (SHELTON CT)
IA
Issued 11/10/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/29/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/2013
Series 7 - General Securities Representative Examination
BC
Issued 08/17/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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