James L. Johnstone
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.
James Lester Johnstone, who also goes by Jim Johnstone, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3 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
March 13, 2007 - December 31, 2021
CHICKASAW CAPITAL MANAGEMENT, LLC
February 20, 2007 - December 31, 2021
CHICKASAW SECURITIES, LLC
February 22, 2005 - April 4, 2006
JANUS HENDERSON DISTRIBUTORS US LLC
September 1, 2004 - February 7, 2005
TRUIST INVESTMENT SERVICES, INC.
November 20, 2001 - August 24, 2004
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
May 23, 1994 - November 16, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
January 21, 1992 - November 24, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 8, 1990 - December 31, 1991
CIGNA CAPITAL BROKERAGE, INC.
November 15, 1988 - February 27, 1989
A. G. EDWARDS & SONS, INC.
October 19, 1988 - November 7, 1988
GRAYSTONE NASH, INC.
Primary Firm SEC Registration
CHICKASAW CAPITAL MANAGEMENT, LLC
CRD#: 127398 / SEC#: 801-62121
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CHICKASAW CAPITAL MANAGEMENT, LLC
CRD#: 127398 / SEC#: 801-62121
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 433 |
| AUM (Assets Under Management) | $ 2,529,750,391 |
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.
