Charles I. Johnston

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CRD#: 1219385

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.

Charles Irvine Johnston was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 8 firms and has passed the Series 63, Series 65, Series 5, Series 3, Series 7, Series 9, Series 10, Series 24, Series 14 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 23, 2008 - May 20, 2014

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

NEW YORK, NY

Past

September 22, 2008 - May 20, 2014

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

April 30, 2004 - August 10, 2004

LADENBURG FINANCIAL SERVICES LLC

CRD#: 126943

BOCA RATON, FL

Past

April 2, 2004 - April 8, 2005

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

June 10, 1996 - August 25, 2003

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 19, 1994 - May 8, 1996

UTENDAHL CAPITAL PARTNERS, L.P.

CRD#: 30115

NEW YORK, NY

Past

August 18, 1987 - July 8, 1994

MORGAN STANLEY MARKET PRODUCTS INC.

CRD#: 19794

NEW YORK, NY

Past

September 6, 1984 - July 8, 1994

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

December 21, 1983 - August 10, 1984

FINANCIAL SQUARE PARTNERS

CRD#: 1541

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525 / SEC#: 801-9638, 8-17822

RIA

Registered Investment Advisory firm - SEC (11/12/1973 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/29/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/6/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 5

Date: 10/5/1998

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 1/12/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 10/27/2008

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 10/13/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 1/4/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 14

Date: 7/25/1994

Compliance Officer Examination

Principal/Supervisory Exam

Series 8

Date: 10/24/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525 / SEC#: 801-9638, 8-17822

RIA

Registered Investment Advisory firm - SEC (11/12/1973 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1 Columbus Circle, New York, NY 10019

Mailing Address

1 Columbus Circle, New York, NY 10019

Phone number

(212) 250-2500

Established

Delaware since 12/29/1971

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

1,788

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

DBSI RESEARCH SERVICES (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
DB U.S. FINANCIAL MARKETS HOLDING CORPORATION	STOCKHOLDER
LEONARD, CHRISTOPHER	CHIEF EXECUTIVE OFFICER & PRESIDENT	5748580
MASSARO, TIBERIO	DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP	1847137
NAPPER, GLEENNIA T	CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER	6161268
PETRUCCELLI, DOMINICK III	CHIEF RISK OFFICER	8018800
SANTORE, DAVID	CHIEF LEGAL OFFICER	7987270
STUCCHIO, ANTHONY	CHIEF OPERATIONS OFFICER AND DIRECTOR	2198592
TIGER, SEBASTIAN BENJAMIN	CHIEF COMPLIANCE OFFICER	2266287

Disclosures

Regulatory Event	291
Civil Event	3
Arbitration	13

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.

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Firm Stability Insights

Charles I. Johnston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

LADENBURG FINANCIAL SERVICES LLC

LADENBURG THALMANN & CO. INC.

LEHMAN BROTHERS INC.

UTENDAHL CAPITAL PARTNERS, L.P.

MORGAN STANLEY MARKET PRODUCTS INC.

MORGAN STANLEY & CO. LLC

FINANCIAL SQUARE PARTNERS

Primary Firm SEC Registration

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/29/2008

Series 65

Date: 12/6/2006

Series 5

Date: 10/5/1998

Series 3

Date: 1/12/1993

Series 7

Date: 12/17/1983

Series 9

Date: 10/27/2008

Series 10

Date: 10/13/2008

Series 24

Date: 1/4/1996

Series 14

Date: 7/25/1994

Series 8

Date: 10/24/1990

Current Firm

DEUTSCHE BANK SECURITIES INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DEUTSCHE BANK SECURITIES INC.

TRUST BUT VERIFY

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