Douglas S. Johnson
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.
Douglas Scott Johnson, who also goes by Douglas Johnson, Douglas Scott Johnson, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1991. Douglas had worked at 15 firms and has passed the Series 66, Series 65, 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 1, 2025 - February 13, 2026
FIDELITY BROKERAGE SERVICES LLC
October 4, 2023 - January 31, 2025
TD PRIVATE CLIENT WEALTH LLC
October 4, 2023 - January 31, 2025
TD PRIVATE CLIENT WEALTH LLC
July 20, 2022 - October 2, 2023
ARETE WEALTH MANAGEMENT, LLC
July 19, 2022 - October 2, 2023
ARETE WEALTH ADVISORS, LLC
January 4, 2021 - July 21, 2022
B. RILEY WEALTH ADVISORS, INC.
December 21, 2020 - July 21, 2022
NATIONAL SECURITIES CORPORATION
November 15, 2017 - July 21, 2020
EQUITABLE ADVISORS, LLC
November 10, 2017 - July 21, 2020
EQUITABLE ADVISORS, LLC
July 17, 2014 - March 30, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 14, 2014 - March 30, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 19, 2013 - June 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 20, 2013 - June 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 6, 2011 - January 9, 2013
CAPSTONE INVESTMENTS
October 1, 2008 - March 7, 2011
CARIS & COMPANY, INC.
February 29, 2008 - July 3, 2008
RBC CAPITAL MARKETS, LLC
October 29, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
May 18, 2004 - November 2, 2004
RBC CAPITAL MARKETS, LLC
May 18, 2004 - November 2, 2004
RBC CAPITAL MARKETS, LLC
July 9, 2002 - April 9, 2004
CREDIT SUISSE SECURITIES (USA) LLC
November 3, 2000 - April 9, 2004
CREDIT SUISSE SECURITIES (USA) LLC
September 27, 1991 - July 12, 2002
PERSHING LLC
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
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.
