Brock Johns, financial advisor Scottsdale AZ

Brock Johns

CRD Number: 6191495
Current Firm: Vanguard Advisers, Inc.

Brock Johns (CRD# 6191495) is an Investment Advisor Representative working at Vanguard Advisers, Inc. in Scottsdale, AZ and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
The Vanguard Group, Inc. Scottsdale, AZ Oct 2021 - Current < 1
Swbc Investment Advisory Services LLC Austin, TX Apr 2021 - Aug 2021 < 1
Northern Lights Distributors, LLC Elkhorn, NE Aug 2019 - Apr 2021 1
Innealta Capital, LLC Austin, TX May 2019 - Apr 2021 1
Charles Schwab & Company, Inc. Austin, TX May 2017 - May 2019 2
Voya Financial Lake Oswego, OR Dec 2015 - May 2017 1
Jp Morgan Securities, LLC Wilsonville, OR May 2014 - Dec 2015 1
Jp Morgan Chase Bank Wilsonville, OR May 2014 - Dec 2015 1
Wealth Strategies Northwest Portland, OR Jan 2014 - May 2014 < 1
Restoration Hardware Portalnd, OR Oct 2013 - Jan 2014 < 1
First Investors Corporation Beaverton, OR Aug 2013 - Oct 2013 < 1
Speedsports.net Milwakie, OR Jun 2013 - Sep 2013 < 1
Ny Life Securities, LLC Vienna, VA May 2013 - Jul 2013 < 1
New York Life Vienna, VA Jan 2013 - Jun 2013 < 1
Bestbuy Washington, DC Sep 2012 - May 2013 < 1
Linfield College Mcminnville, OR Feb 2010 - Sep 2012 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2015
S66 NASAA Uniform Combined State Law Examination Feb 2018
Contact Info for Brock C. Johns
Phone Number: 610-669-1000
Registered State(s):
  • AZ
  • TX
By the Numbers
  • Total Assets Under Management
    276,525
    MILLIONS
  • Total Number of Accounts
    518,715
    ACCOUNTS
  • Average Account Value
    $533,097
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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