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PJ

Philip M. Johnston

BREAN CAPITAL
Menlo Park, CA 94025
Some features on this profile are disabled
CRD#: 1730461
PJ

Professional summary

Philip Murray Johnston, who also goes by Philip M Johnston, is a registered financial professional currently at BREAN CAPITAL, LLC located in Menlo Park, California.

Philip is registered as a RR (Registered Representative) and started their career in finance in 1987. Philip has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 79, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Philip M Johnston

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip Murray Johnston's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 9, 2015 - Present

BREAN CAPITAL, LLC

Office #1: 885 Oak Grove Avenue Suite 211, Menlo Park, CA 94025
BD
CRD#: 23723
Menlo Park, CA
Past

May 1, 2014 - April 10, 2015

SANCTUARY SECURITIES LLC

BD
CRD#: 144091
SAN FRANCISCO, CA
Past

September 8, 2005 - November 5, 2012

THINKEQUITY LLC

BD
CRD#: 44274
SAN FRANCISCO, CA
Past

October 2, 2002 - August 12, 2005

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

May 1, 2001 - June 20, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 5, 2001 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

February 1, 2000 - February 5, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

April 18, 1995 - February 1, 2000

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

August 17, 1992 - September 8, 1992

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
NEW YORK, NY
Past

January 7, 1991 - August 17, 1992

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

September 4, 1990 - December 5, 1990

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

August 24, 1989 - September 4, 1990

BOETTCHER & COMPANY, INC.

BD
CRD#: 101
Past

March 15, 1989 - August 28, 1989

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

November 25, 1987 - August 30, 1988

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

BD
CRD#: 414
NEW ORLEANS, LA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/9/2015)
RR
New York
(4/9/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 12/31/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/23/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 1/11/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/21/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/26/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BC
BREAN CAPITAL, LLC
BREAN CAPITAL, LLC | NATIONAL LIQUIDATORS, INC | CARRET SECURITIES, LLC | CARRET SECURITIES, INC. | BREAN MURRAY, CARRET & CO., LLC.

CRD#: 23723 / SEC#: , 8-40742

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Mailing Address
505 Fifth Avenue 5th Floor, New York, NY 10017
Phone number
(212) 702-6500
Established
Delaware since 02/03/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BMUR HOLDINGS, LLCHOLDING COMPANY
HUNT FS HOLDINGS III, LLCHOLDING COMPANY
ALLURED LLCHOLDING COMPANY
LIZINATOR LLCHOLDING COMPANY
BREAN CAPITAL HOLDINGS, LLCHOLDING COMPANY
CORWEN, STEPHEN MILLERHEAD OF MBS/ABS SALES2943061
FINE, ROBERT MICHAELCHIEF EXECUTIVE OFFICER1450313
GUZMAN, JEFFREY MCHIEF COMPLIANCE OFFICER3095123
LAMARSH, JONATHAN ANDREWPRINCIPAL OPERATIONS OFFICER5436335
MACKLIN, JOHN TIMOTHYPRINCIPAL OPERATIONS OFFICER1446800
SARABELLA, ARNOLDCHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER1717059
TIRSCHWELL, ROBERT MOYSEEXECUTIVE MANAGING DIRECTOR2230453

Disclosures

Regulatory Event12

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

BREAN CAPITAL, LLC

CRD#: 23723Menlo Park, CA 94025

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