Mary C. Johnstone
Professional summary
Mary Carlton Johnstone, who also goes by Mary Johnstone Allen, Mary Allen Johnstone, Mary Carlto Johnstone, Mary Johnstone, is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in New York, New York.
Mary is registered as a RR (Registered Representative) and started their career in finance in 1983. Mary has worked at 9 firms and has passed the Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 41, Series 7, Series 10, Series 9, Series 27, Series 14, Series 53, Series 8, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mary Carlton Johnstone's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2001 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 787 7th Ave. 4th & 5th Floors, New York, NY 10019December 16, 2019 - November 3, 2020
MOORELAND PARTNERS LLC
March 29, 2018 - July 10, 2018
EATON PARTNERS, LLC
November 27, 2015 - October 2, 2023
MILLER BUCKFIRE & CO., LLC
October 22, 1996 - April 11, 2001
JOSEPHTHAL & CO., INC.
July 8, 1996 - September 24, 1996
KEEFE, BRUYETTE & WOODS, INC.
December 20, 1989 - April 2, 1996
JOSEPHTHAL & CO., INC.
July 31, 1986 - January 1, 1990
MCKINLEY ALLSOPP, INC.
June 27, 1985 - March 24, 1986
BRAULT, STAFFORD & CO., INC.
March 7, 1985 - March 22, 1985
KUHNS BROTHERS & LAIDLAW, INC.
August 23, 1983 - January 17, 1985
CIBC WOOD GUNDY SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/2/2001)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/11/2000
Limited Representative-Equity Trader ExamSeries 41
Date: 8/17/1985
NYSE Allied Member ExaminationSeries 8
Date: 7/8/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
Red Flags
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