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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

ARTHUR JAMES JOHNSON

Advisor at IP FINANCIAL ADVISORY SERVICES LLC

CHARLOTTE, NC | Long Beach, CA

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Search this name across graphsid dfx:ria:d06bbe98-effa-6172-1c78-b0f15fd99194

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 30, 2003 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: IP FINANCIAL ADVISORY SERVICES LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 30, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Sep 30, 1994
First registration: Apr 30, 2003
Dual registered: yes, broker-dealer
Other names: ARTHUR JAMES JOHNSON|Art Johnson|ARTHUR JAMES JOHNSON III
IAPD individual key: 2510972

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
IP FINANCIAL ADVISORY SERVICES LLC	Independent wealth	Apr 20, 2026	n/a	yes	Long Beach, CA\|CHARLOTTE, NC	Current employment
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Jul 10, 2019	Apr 25, 2024	no	SAN CLEMENTE, CA\|LAGUNA NIGUEL, CA\|DANA POINT, CA\|SAN CLEMENTE, CA\|SAN JUAN CAPISTRANO, CA\|DANA POINT, CA	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Nov 8, 2012	Mar 27, 2019	no	BREA, CA\|Fullerton, CA\|Brea, CA\|BUENA PARK, CA\|Anaheim, CA\|Placentia, CA\|Yorba Linda, CA\|Anaheim, CA\|Fullerton, CA\|BUENA PARK, CA\|FULLERTON, CA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Oct 17, 2006	Nov 19, 2012	no	LA MIRADA, CA\|MISSION VIEJO, CA\|FULLERTON, CA\|NEWPORT BEACH, CA\|LA HABRA, CA\|LA MIRADA, CA\|FOOTHILL RANCH, CA\|SAN CLEMENTE, CA\|MISSION VIEJO, CA\|HUNTINGTON BEACH, CA\|NEWPORT BEACH, CA\|LA MIRADA, CA\|NEWPORT BEACH, CA\|LAKEWOOD, CA\|SAN CLEMENTE, CA\|SANTA ANA, CA\|BELLFLOWER, CA\|FULLERTON, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Apr 30, 2003	Nov 16, 2005	no	LAGUNA NIGUEL, 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
U.S. BANCORP ADVISORS, LLC	IP FINANCIAL ADVISORY SERVICES LLC	Apr 25, 2024	Apr 20, 2026	725	Firm change after gap	Ibd to RIA
U.S. BANCORP INVESTMENTS, INC.	U.S. BANCORP ADVISORS, LLC	Mar 27, 2019	Jul 10, 2019	105	Firm change	Ibd to ibd
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	U.S. BANCORP INVESTMENTS, INC.	Nov 19, 2012	Nov 8, 2012	-11	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Nov 16, 2005	Oct 17, 2006	335	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
17868:14455:CA:2019-03-25	Mar 27, 2019	Jul 10, 2019	FULLERTON, CA	Firm change

Relationships

Registered with (5)

→ IP FINANCIAL ADVISORY SERVICES LLCRegistered adviserregistration: current employment
Apr 20, 2026 to presentfactForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 10, 2019 to Apr 25, 2024factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Nov 8, 2012 to Mar 27, 2019factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Oct 17, 2006 to Nov 19, 2012factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 30, 2003 to Nov 16, 2005factForm ADV

Dated events

Occurred
Apr 25, 2024
Advisor changed firm
Arthur James Johnson left U.S. Bancorp Advisors, Llc for Ip Financial Advisory Services Llc (registered 2026-04-20)
Form ADVobserved 6 days ago