Christopher P. 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.
Christopher Perry Johnston, who also goes by Chris Johnston, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1982. Christopher had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2007 - October 9, 2017
FIDELITY BROKERAGE SERVICES LLC
January 26, 2007 - April 4, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
July 10, 1997 - October 10, 2017
STRATEGIC ADVISERS LLC
September 2, 1992 - January 26, 2007
FIDELITY BROKERAGE SERVICES LLC
November 11, 1991 - August 21, 1992
UBS FINANCIAL SERVICES INC.
December 21, 1989 - June 19, 1990
BANCBOSTON SECURITIES INC.
November 10, 1988 - July 10, 1989
DORSEY & COMPANY, INC.
August 7, 1984 - July 22, 1986
MORGAN KEEGAN & COMPANY, LLC
March 30, 1982 - August 6, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 5
Date: 4/27/1982
Interest Rate Options ExaminationSeries 8
Date: 9/22/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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