Roy JohnsonCRD 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 8 years of experience in the finance industry.
Wiser Financial Coaching, LLC
Signator Investors, Inc.
Hornor, Townsend & Kent, Inc.
|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|
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
Total Assets Under Management1,622MILLIONS
Total Number of Accounts15,486ACCOUNTS
Average Account Value$104,766
- 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
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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