Thomas C. 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.
Thomas Clayton Johnston, who also goes by Clayton Johnston, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2011 - May 12, 2017
IVY DISTRIBUTORS, INC.
September 27, 2004 - April 9, 2012
WADDELL & REED
December 15, 2003 - May 12, 2017
WADDELL & REED
September 26, 1986 - September 10, 1990
RAUSCHER PIERCE REFSNES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
IVY DISTRIBUTORS, INC.
CRD#: 16496 / SEC#: , 8-34046
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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