Douglas Mark Johnson

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APP_PEND_IARCE	2026-01-01
TX	RA	APPROVED	2021-05-04

MN RA
APP_PEND_IARCE

Since 2026-01-01
TX RA
APPROVED

Since 2021-05-04

Branch Locations

Winona, MN • 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Winona	MN	01/2011	11/2016
Wells Fargo Clearing Services, Llc	Winona	MN	11/2016	04/2021
Lpl Financial	Winona	MN	04/2021	Present

01/2011 → 11/2016

Wells Fargo Advisors Llc

Winona, MN
11/2016 → 04/2021

Wells Fargo Clearing Services, Llc

Winona, MN
04/2021 → Present

Lpl Financial

Winona, MN

Previous Registrations

2011-01-03 → 2021-05-10

Wells Fargo Clearing Services, Llc

Winona, MN

Minneapolis, MN

Winona, MN
2005-05-23 → 2011-01-03

Wells Fargo Investments, Llc

Winona, MN

Winona, MN

Other Businesses

1)05/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - GERVAIS WEALTH MANAGEMENT - INVESTMENT RELATED - WINONA, MN 55987

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-09
S63	Uniform Securities Agent State Law Examination	1995-06-08

S65 Uniform Investment Adviser Law Examination

1999-12-09
S63 Uniform Securities Agent State Law Examination

1995-06-08

Other Names

Dj Johnson
Doug Johnson

View on SEC IAPD