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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

Craig Gordon Johnson

Advisor at LPL FINANCIAL LLC

WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:36178457-c7cd-addf-22b0-e1d2353e799c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2006 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: Jan 8, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 8, 1981
First registration: Feb 22, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 721657

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	WESTLAKE VILLAGE, CA	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Mar 16, 2015	Jun 5, 2025	no	Santa Barbara, CA\|Westlake Village, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Mar 27, 2015	no	SANTA BARBARA, CA\|GOLETA, CA\|SANTA BARBARA, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Oct 1, 2012	no	SANTA BARBARA, CA\|GOLETA, CA\|SANTA BARBARA, CA\|SANTA BARBARA, CA\|GOLETA, CA\|SANTA BARBARA, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Feb 22, 2006	May 2, 2009	no	GOLETA, CA\|SANTA BARBARA, CA\|CANOGA PARK, 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
J.P. MORGAN SECURITIES LLC	WESTERN INTERNATIONAL SECURITIES	Mar 27, 2015	Mar 16, 2015	-11	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Mar 16, 2015 to Jun 5, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Mar 27, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Oct 1, 2012factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Feb 22, 2006 to May 2, 2009factForm ADV

Dated events

No dated event names this entity yet.