Roy Johnson, financial advisor Raleigh NC
81 score

Roy Johnson

CRD Number: 4482052
Current Firm: Principal Securities, Inc.

Roy Johnson (CRD# 4482052) is an Investment Advisor Representative working at Principal Securities, Inc. in Raleigh, NC and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Princor Financial Services Corporation Raleigh, NC Sep 2015 - Current 1
Principal Life Insurance Company Raleigh, NC Sep 2015 - Current 1
Axa Advisors, LLC New York, NY Jan 2009 - Sep 2015 6
Unemployed Raleigh, NC Dec 2008 - Jan 2009 < 1
R. J. Consulting Cary, NC Mar 2007 - Nov 2008 1
Ncsu - School Of Textiles Raleigh, NC Oct 1998 - Mar 2007 8
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination May 2009
Disclosure Information

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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Roy H. Johnson
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
81

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