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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

Jeffry Jess Johnson

Advisor at LPL FINANCIAL LLC

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:1d69f837-d334-01fd-2404-dda4d50f5c1d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 28, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 12, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: May 12, 1987
First registration: Dec 28, 2001
Dual registered: yes, broker-dealer
Other names: Jeffry Johnson
IAPD individual key: 1577835

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 5, 2025	n/a	yes	NEWPORT BEACH, CA	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Jul 24, 2020	Jun 5, 2025	no	Newport Beach, CA\|Newport Beach, CA	Previous registration
MUTUAL ADVISORS, LLC	Bd affiliated wealth	Jul 1, 2013	Jul 27, 2020	no	LAGUNA HILLS, CA	Previous registration
MUTUAL SECURITIES, INC.	Former SEC adviser	Nov 12, 2009	Jul 9, 2013	no	LAGUNA HILLS, CA\|WESTLAKE VILLAGE, CA\|LAGUNA HILLS, CA	Previous registration
PMB SECURITIES CORP.	n/a	May 18, 2004	Nov 13, 2009	no	NEWPORT BEACH, CA\|SAN CLEMENTE, CA\|LA HABRA, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 28, 2001	Mar 9, 2004	no	NEWPORT BEACH, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WESTERN INTERNATIONAL SECURITIES	LPL FINANCIAL LLC	Jun 5, 2025	Jun 5, 2025	0	Bulk transfer	Ibd to ibd
MUTUAL ADVISORS, LLC	WESTERN INTERNATIONAL SECURITIES	Jul 27, 2020	Jul 24, 2020	-3	Firm change	Ibd to ibd
MUTUAL SECURITIES, INC.	MUTUAL ADVISORS, LLC	Jul 9, 2013	Jul 1, 2013	-8	Firm change	Other
PMB SECURITIES CORP.	MUTUAL SECURITIES, INC.	Nov 13, 2009	Nov 12, 2009	-1	Firm change	Other
WELLS FARGO ADVISORS	PMB SECURITIES CORP.	Mar 9, 2004	May 18, 2004	70	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Jul 24, 2020 to Jun 5, 2025factForm ADV
→ MUTUAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 1, 2013 to Jul 27, 2020factForm ADV
→ MUTUAL SECURITIES, INC.Registered adviserregistration: previous registration
Nov 12, 2009 to Jul 9, 2013factForm ADV
→ PMB SECURITIES CORP.Registered adviserregistration: previous registration
May 18, 2004 to Nov 13, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 28, 2001 to Mar 9, 2004factForm ADV

Dated events

No dated event names this entity yet.