Christopher 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.
Christopher Lawrence Johnston, who also goes by Chris Johnston, Christopher Johnston, Cj Johnston, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1987. Christopher had worked at 11 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2010 - October 31, 2012
ALLSTATE FINANCIAL SERVICES, LLC
August 5, 2009 - July 2, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 31, 2009 - July 2, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 11, 2008 - May 28, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 8, 2007 - June 2, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 8, 2007 - June 2, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 18, 2004 - September 26, 2006
FEDERATED INVESTMENT COUNSELING
May 13, 2002 - September 26, 2006
FEDERATED SECURITIES CORP.
September 8, 2001 - March 25, 2002
ALLIANZ LIFE FINANCIAL SERVICES, LLC
June 8, 1998 - March 20, 2001
NATIONAL PLANNING CORPORATION
January 1, 1997 - May 8, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 16, 1994 - January 1, 1997
PRUCO SECURITIES, LLC.
July 27, 1989 - December 14, 1993
PRUDENTIAL EQUITY GROUP, LLC
July 10, 1987 - June 12, 1989
USF&G INVESTMENT 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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| 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.
