Brian Stewart Johnson

Employer firm

Dlk Investment Management CRD 149096

$524M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers

Dlk Investment Management

238 North Cedros Ave Suite 200, Solana Beach, CA 92075 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-01-09
CA	RA	APPROVED	2012-04-13

TX RA
APPROVED_RES

Since 2019-01-09
CA RA
APPROVED

Since 2012-04-13

Branch Locations

238 North Cedros Ave Suite 200, Solana Beach, CA 92075 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Dlk Investment Management	San Diego	CA	04/2012	Present

04/2012 → Present

Dlk Investment Management

San Diego, CA

Previous Registrations

2011-03-21 → 2012-04-04

Anchor Bay Capital, Inc.

Carlsbad, CA
2002-12-20 → 2003-02-12

Anchor Bay Capital, Inc.

Carlsbad, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-03-18
S63	Uniform Securities Agent State Law Examination	2002-05-29

S65 Uniform Investment Adviser Law Examination

2011-03-18
S63 Uniform Securities Agent State Law Examination

2002-05-29

View on SEC IAPD

Employer firm

Current Employers

Dlk Investment Management

Disclosures

Employment History

Previous Registrations

Exams

Nearby Firms

Nearby Investors

Nearby Offices

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