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KARLI JOHNSON
Karli Cecil Johnson, Karli Johnson
CRD#: 6501525
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 681 EAST LAKE STREET
SUITE 354
WAYZATA, MN 55391
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2017 - 2019 (2 years)2 FIRMS2019 - Present (5 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2015 - 2017 (1 year)
License(s)

State Registrations

B
Arizona 1/17/2020

IA
Minnesota 11/26/2019

B
California 1/17/2020

B
North Dakota 1/17/2020

B
Colorado 1/17/2020

B
Texas 8/1/2024

B
Florida 1/17/2020

B
Washington 1/17/2020

B
Minnesota 11/26/2019

B
Wisconsin 1/17/2020

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
681 EAST LAKE STREET SUITE 354, WAYZATA, MN 55391
Minneapolis, MN
Registered with this firm since 11/26/2019

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
681 EAST LAKE STREET SUITE 354, WAYZATA, MN 55391
Minneapolis, MN
Registered with this firm since 11/26/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/19/2017 - 11/18/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BLOOMINGTON, MN
B
10/23/2017 - 11/18/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BLOOMINGTON, MN
B
12/18/2015 - 10/12/2017 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) EDINA, MN
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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.