![Johanna Mockett, financial advisor Long Beach CA](/img/ws/profile-blank-sq.png)
Johanna Mockett (CRD# 5281318) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Long Beach, CA and has over 16 years of experience in the finance industry.
CRD# 1620034
Raymond James & Associates, Inc.
CRD# 5781614
Awm Capital, LLC
CRD# 6406556
Aqua Capital Advisors
Company Name | Location | Dates | Years |
---|---|---|---|
Lspn Pro LLC | Lindon, UT | Mar 2023 - Current | 1 |
Mockett, Inc. | Gardena, CA | Dec 2021 - Current | 2 |
Transamerica Financial Advisors, Inc. | Long Beach, CA | Jan 2012 - Current | 12 |
Wfgia | Long Beach, CA | Aug 2006 - Current | 17 |
Revolution Financial Management | Gardena, CA | Aug 2006 - Current | 17 |
Mockett Financial Inc. | Gardena, CA | Jun 2015 - Sep 2022 | 7 |
One Accord Management | Torrance, CA | Jan 2006 - Sep 2019 | 13 |
Cmg And Associates | Torrance, CA | Jan 2011 - Jan 2017 | 6 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Apr 2007 |
S65 | NASAA Investment Advisors 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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
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Total Assets Under Management1,815MILLIONS
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Total Number of Accounts59,659ACCOUNTS
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Average Account Value$30,430
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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