Bret JohnsonCRD Number: 5534987
Current Firm: Ameriprise Financial Services, Inc.
Bret Johnson (CRD# 5534987) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Dubuque, IA and has over 7 years of experience in the finance industry.
Voya Financial Advisors, Inc.
Steele Capital Management, Inc.
Investments By Design, Inc.
|Ameriprise Financial Services, Inc.||Maquoketa, IA||May 2015 - Current||2|
|Berthel Fisher & Co Financial Services Inc.||Galena, IL||Jul 2011 - May 2015||3|
|Jo Daviess Conservation Foundation||Elizabeth, IL||Jan 2011 - May 2015||4|
|Galena State Bank||Galena, IL||Oct 2008 - Jul 2011||2|
|Lpl Financial||Charlotte, NC||Jul 2010 - Jun 2011||< 1|
|Ameriprise Financial Services,inc.||Chicago, IL||Jun 2008 - Aug 2008||< 1|
|Robert Johnson Builders||Galena, IL||Aug 2007 - May 2008||< 1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Aug 2010|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management198,081MILLIONS
Total Number of Accounts1,126,912ACCOUNTS
Average Account Value$175,773
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY