John R. 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.
John Randall Johnston, who also goes by Johnny Johnston, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 6 firms and has passed the Series 63, Series 3, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 1994 - March 17, 1995
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
May 7, 1992 - October 29, 1993
DICKINSON & CO.
April 11, 1990 - March 12, 1992
RAUSCHER PIERCE REFSNES, INC.
February 28, 1990 - April 24, 1990
STOCKTON, HART, JOHNSTON, WICHERT & COMPANY
July 9, 1987 - March 14, 1990
RAUSCHER PIERCE REFSNES, INC.
December 3, 1986 - August 4, 1987
TITAN/VALUE EQUITIES GROUP, INC.
September 23, 1986 - April 7, 1988
FORESTERS 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
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
CRD#: 2864 / SEC#: , 8-7865
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL CAPITAL CORP. | OWNER | |
| AYLING, JOHN RUSSELL | OFFICER | 9294 |
| BAKER, TAMARA ELAINE | OFFICER/MUNICIPAL PRINCIPAL | 3017864 |
| CAMERON, JOHN WILLIAM | OFFICER /SR. VICE PRESIDENT | 1253957 |
| GRUVER, DONALD LESLIE | COMPLIANCE OFFICER / OPTIONS PRINCIPAL | 2266415 |
| KOWALSKI, DENNIS J | CONTROLLER/CHIEF FINANCIAL OFFICER/FINANCIAL PRINCIPAL | 2526293 |
| LOSBY, THOMAS DAVID | CHIEF OPERATIONS OFFICER /PRESIDENT | 1301638 |
| NOETHEN, BRITTANY MICHELLE | VICE PRESIDENT/COMMUNICATIONS AND INFORMATION SYSTEMS | 2610543 |
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
