DFX Intelligence

Data Factory

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

JAMES ANTHONY JOHNSON

Advisor at LPL FINANCIAL LLC

SALT LAKE CITY, UT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3b3a8fe2-d082-b475-029a-e0fca723d770

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 4, 1997 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: Jul 29, 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: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 29, 1987
First registration: Feb 4, 1997
Dual registered: yes, broker-dealer
Other names: TONY JOHNSON
IAPD individual key: 1700589

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	May 1, 2025	n/a	yes	SALT LAKE CITY, UT	Current employment
SCF INVESTMENT ADVISORS, INC.	Former SEC adviser	Nov 6, 2015	May 1, 2025	no	SALT LAKE CITY, UT\|SAN DIEGO, CA	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jun 2, 2014	Nov 5, 2015	no	SALT LAKE CITY, UT	Previous registration
NATIONS FINANCIAL GROUP, INC.	Independent wealth	Jun 12, 2003	Jun 2, 2014	no	SALT LAKE CITY, UT\|SALT LAKE CITY, UT	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Feb 4, 1997	Jun 12, 2003	no	SALT LAKE CITY, UT	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
SCF INVESTMENT ADVISORS, INC.	LPL FINANCIAL LLC	May 1, 2025	May 1, 2025	0	Bulk transfer	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	SCF INVESTMENT ADVISORS, INC.	Nov 5, 2015	Nov 6, 2015	1	Firm change	Other
NATIONS FINANCIAL GROUP, INC.	SECURITIES AMERICA ADVISORS, INC.	Jun 2, 2014	Jun 2, 2014	0	Firm change	Other
RBC CAPITAL MARKETS, LLC	NATIONS FINANCIAL GROUP, INC.	Jun 12, 2003	Jun 12, 2003	0	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 1, 2025 to presentfactForm ADV
→ SCF INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
Nov 6, 2015 to May 1, 2025factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jun 2, 2014 to Nov 5, 2015factForm ADV
→ NATIONS FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Jun 12, 2003 to Jun 2, 2014factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Feb 4, 1997 to Jun 12, 2003factForm ADV

Dated events

No dated event names this entity yet.