William L. 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.
William Lustig Johnston, who also goes by Bill Johnston, William L Johnston, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 11 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2001 - April 25, 2002
SIERRA BROKERAGE SERVICES, INC.
November 21, 2000 - February 26, 2001
REGIS SECURITIES CORPORATION
September 19, 2000 - November 9, 2000
LEGG MASON WOOD WALKER, INCORPORATED
May 2, 2000 - October 3, 2000
GUNNALLEN FINANCIAL, INC
April 7, 1998 - May 4, 2000
MPI FINANCIAL
January 9, 1997 - April 1, 1998
QUANTUM CAPITAL CORPORATION
April 10, 1995 - January 27, 1997
THE HAMILTON-SHEA GROUP, INC.
August 19, 1993 - April 5, 1995
OMNI FINANCIAL SECURITIES, INC.
November 8, 1990 - May 11, 1991
ADVEST, INC.
October 3, 1988 - November 16, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 1986 - July 27, 1988
MARION BASS SECURITIES CORPORATION
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
SIERRA BROKERAGE SERVICES, INC.
CRD#: 36573 / SEC#: , 8-47414
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHARDSON, JEFFREY ALLEN | PRESIDENT/HEAD TRADER | 736249 |
| TROWBRIDGE, JAMES MAURICE | DIRECTOR | 2496467 |
| MACTIR INTERNATIONAL | SHAREHOLDER | |
| MCCAMEY, JOHN CHRISTOPHER | SHAREHOLDER | 1837728 |
| PAMULAPATI, JITHENDER | SHAREHOLDER | 2074713 |
| MCAULIFFE, JANE A | SHAREHOLDER | 2521230 |
| ECKSTEIN, BRIAN KEITH | CHIEF FINANCIAL OFFICER | 4270845 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 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.
