Stephen K. Johnston
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen K Johnston, who also goes by Stephen Kelly Johnston, Steve K Johnston, Steve Kelly Johnston, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2016 - October 12, 2016
KESTRA ADVISORY SERVICES, LLC
January 7, 2004 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
December 8, 1998 - October 12, 2016
KESTRA INVESTMENT SERVICES, LLC
March 1, 1996 - December 11, 1998
MML INVESTORS SERVICES, LLC
December 4, 1993 - December 31, 1994
WOODBURY FINANCIAL SERVICES, INC.
April 14, 1992 - March 1, 1996
G. R. PHELPS & CO., INC.
January 21, 1987 - May 1, 1990
TAYLOR SECURITIES, INC.
July 6, 1982 - February 2, 1987
UNION STREET EQUITIES, INC.
March 11, 1982 - December 31, 1990
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
