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 L Johnston, CFP®, who also goes by Bill Johnston, William Leathen Johnston IV, William Leathen Johnston, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 8 firms and has passed the Series 66, Series 63, SIE 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
May 19, 2014 - September 19, 2016
VICUS CAPITAL, INC.
September 3, 2013 - September 20, 2016
CETERA WEALTH SERVICES, LLC
March 11, 2013 - September 3, 2013
WALNUT STREET SECURITIES, INC.
November 22, 2010 - January 25, 2011
PRUCO SECURITIES, LLC.
December 15, 1999 - May 5, 2009
PRUCO SECURITIES, LLC.
September 29, 1997 - November 1, 1999
MORGAN STANLEY DW INC.
August 31, 1995 - July 15, 1996
SUMMIT EQUITIES, INC.
December 9, 1994 - September 7, 1995
MERCER ALLIED COMPANY, L.P.
March 22, 1994 - December 9, 1994
MERCER ALLIED CORPORATION
Primary Firm SEC Registration
VICUS CAPITAL, INC.
CRD#: 116021 / SEC#: 801-60628
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
VICUS CAPITAL, INC.
CRD#: 116021 / SEC#: 801-60628
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,058 |
| AUM (Assets Under Management) | $ 2,574,468,218 |
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.
