Steven JohnsonCRD Number: 4575263
Current Firm: Capital One Advisors, LLC
Steven Johnson (CRD# 4575263) is an Investment Advisor Representative working at Capital One Advisors, LLC in Plano, TX and has over 15 years of experience in the finance industry.
Khp Capital LLC
Wells Fargo Advisors Financial Network, LLC
Vanderpal Capital Management LLC
|Capital One Investing, LLC||Plano, TX||Jul 2017 - Current||< 1|
|Capital One Advisors, LLC||Plano, TX||Jul 2017 - Current||< 1|
|Self Unemployed||Frisco, TX||Nov 2016 - Jul 2017||< 1|
|Metlife Securities Inc.||Frisco, TX||Oct 2013 - Nov 2016||3|
|Metlife Securities Inc.||Addison, TX||Jun 2013 - Oct 2013||< 1|
|Grand Financial||Addison, TX||Jul 2012 - Jun 2013||< 1|
|Self Employed||Frisco, TX||Jan 2012 - Jun 2012||< 1|
|Chase Investment Services Corp||Dallas, TX||Feb 2011 - Nov 2011||< 1|
|Various Insurance Carriers For W&r Insurance Agencies||El Paso, TX||Dec 2009 - Jan 2011||1|
|Waddell & Reed, Inc.||El Paso, TX||May 2009 - Jan 2011||1|
|Financial Network||El Paso, TX||Nov 2007 - May 2009||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Oct 2002|
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 Management8MILLIONS
Total Number of Accounts204ACCOUNTS
Average Account Value$39,720
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
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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