James Johnson has been an investment adviser representative at Lombard Advisers since January 2007, and is not listed among the firm’s executive officers or direct owners.
Lombard Advisers Incorporated is a Baltimore, MD firm with $670M under management, 985 clients and 30 advisers across 24 offices, as of its March 2026 filing.
James Johnson’s longest registration is the current one, 19 years at Lombard Advisers since 2007. Before joining Lombard Advisers in 2007, James Johnson was registered through Wachovia Securities Financial Network, LLC.
- – present · 19 yearsMathews, NC · Adviser representative · Firm CRD 108231
- Wachovia Securities Financial Network, LLC– · under a yearMatthews, NC · Adviser representative · Firm CRD 11025
Investment adviser representative registrations
James Johnson is registered as an investment adviser representative in North Carolina, since April 2022.
- North CarolinaSince 21 April 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 9 May 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 December 2004 |
| Series 7 | General Securities Representative Examination | 25 August 2004 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James L Johnson
- CRD
- 4735928
- Firm
- Lombard Advisers · CRD 108231
- Office
- Mathews, NC
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 2004
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Johnson work?
James Johnson is an investment adviser representative registered through Lombard Advisers Incorporated since January 2007, and is not listed among the firm’s executive officers or direct owners.
Is James Johnson a financial advisor?
Yes. James Johnson has a current investment-adviser registration in North Carolina, through Lombard Advisers since January 2007.
How many years of experience does James Johnson have?
James Johnson has 22 years in the financial industry, since September 2004, across 2 adviser firms.
What exams has James Johnson passed?
James Johnson has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in August 2004. FINRA credited James Johnson with the SIE, which began in October 2018.
Where did James Johnson work before Lombard Advisers?
Before Lombard Advisers, James Johnson was registered through Wachovia Securities Financial Network, LLC, May 2006 to December 2006.
Where is James Johnson based?
James Johnson’s registered office is in Mathews, NC.
Is James Johnson registered with FINRA?
Yes. James Johnson has a current broker registration, under CRD 4735928.
Source: FINRA BrokerCheck
How can I verify James Johnson’s record?
Search CRD 4735928 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Johnson’s full registration record.