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Travis Johnson, IACCP®

Travis johnson, iaccp®

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location of Travis Johnson, IACCP®Bowling Green, Kentucky, United States
Phone number of Travis Johnson, IACCP®+91 xxxx xxxxx
Followers of Travis Johnson, IACCP®1000 followers

  • Timeline

    Jan 2012 - Aug 2016

    Investment Adviser / Operations Manager

    SageGuard Financial Group
    Current Company
    Jan 2016 - now

    Managing Director of XY Compliance Solutions

    XY Planning Network

  • About me

    Managing Director of XYPN Compliance

  • Education

    • Idaho state university

      2010 - 2012
      Coursework in: economics, finance, general education

    • Liberty university

      2014 - 2016
      Coursework in: business administration and management

  • Experience

    • Sageguard financial group

      Jan 2012 - Aug 2016
      Investment adviser / operations manager

      Provided support in the areas of RIA compliance, portfolio management, investment research, as well as middle and back-office functions within a rapidly growing Registered Investment Advisor firm.- Portfolio construction and ongoing management.- Monitor compliance program & supervision of Investment Adviser Reps.- Client onboarding & account servicing.- Investment research and reporting.

    • Xy planning network

      Jan 2016 - now
      Managing director of xy compliance solutions

      Lead a team of RIA compliance experts in the development and delivery of compliance resources and offerings to support a network of state and federally-registered fee-only Financial Planners and Investment Advisors. Support advocacy initiatives with regard to state and federal securities policy and regulation that impacts Registered Investment Advisors in various jurisdictions.

  • Licenses & Certifications

    • Investment advisor certified compliance professional (iaccp®)

      Comply
      Mar 2023