Alan B. Johnston
Professional summary
Alan Bruce Johnston was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alan is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Alan had worked at 5 firms, which includes CONCOURSE FINANCIAL GROUP SECURITIES INC., SUNPOINT SECURITIES INC., WMA SECURITIES INC., GUARDIAN INVESTOR SERVICES LLC, UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 1999 - February 10, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 11, 1998 - January 20, 1999
SUNPOINT SECURITIES, INC.
June 11, 1997 - June 15, 1998
WMA SECURITIES, INC.
December 6, 1994 - June 19, 1997
GUARDIAN INVESTOR SERVICES LLC
September 26, 1986 - March 21, 1990
UBS FINANCIAL SERVICES INC.
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
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