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PHYLLIS KIRVEN JOHNSON
PHYLLIS DENISE KIRVEN
CRD#: 1343524
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 3334 RICHMOND AVENUE
SUITE 103
HOUSTON, TX 77098
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 3334 RICHMOND AVENUE
SUITE 103
HOUSTON, TX 77098
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2011 (3 years)2 FIRMS2015 - Present (9 years)BFSC SECURITIES CORPORATION (CRD# 7461)2011 - 2015 (4 years)BWORKMAN SECURITIES CORPORATION (CRD# 31898)2005 - 2007 (2 years)BGREAT AMERICAN ADVISORS, INC. (CRD# 36451)1997 - 2005 (8 years)IAPK JOHNSON FINANCIAL SERVICES, LLC (CRD# 149462)2009 - 2015 (6 years)IAMONEY & INVESTMENT CONCEPTS (CRD# 115166)2001 - 2009 (7 years)
License(s)

State Registrations

B
Louisiana 4/14/2021

IA
Texas 6/8/2015

B
Texas 6/5/2015

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
3334 RICHMOND AVENUE SUITE 103, HOUSTON, TX 77098
Registered with this firm since 6/8/2015

B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
3334 RICHMOND AVENUE SUITE 103, HOUSTON, TX 77098
Registered with this firm since 6/5/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/18/2009 - 07/31/2015 PK JOHNSON FINANCIAL SERVICES, LLC (CRD#:149462) HOUSTON, TX
B
06/20/2011 - 06/09/2015 FSC SECURITIES CORPORATION (CRD#:7461) HOUSTON, TX
IA
11/19/2007 - 06/03/2011 NEXT FINANCIAL GROUP, INC. (CRD#:46214) HOUSTON, TX
B
11/19/2007 - 06/03/2011 NEXT FINANCIAL GROUP, INC. (CRD#:46214) HOUSTON, TX
IA
04/02/2001 - 02/26/2009 MONEY & INVESTMENT CONCEPTS (CRD#:115166) HOUSTON, TX
B
10/17/2005 - 11/19/2007 WORKMAN SECURITIES CORPORATION (CRD#:31898) HOUSTON, TX
B
04/22/1997 - 10/19/2005 GREAT AMERICAN ADVISORS, INC. (CRD#:36451) CINCINNATI, OH
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.