Douglas 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.
Douglas Johnston, who also goes by Doug Johnston, Douglas Stuart Johnston, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1993. Douglas had worked at 7 firms and has passed the Series 63, Series 65, 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
January 15, 2022 - May 7, 2026
EATON VANCE DISTRIBUTORS, INC.
October 11, 2013 - January 15, 2022
MORGAN STANLEY DISTRIBUTION, INC.
October 5, 2011 - September 13, 2013
TCADVISORS NETWORK INC.
January 13, 2004 - February 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1997 - April 23, 1998
A. G. EDWARDS & SONS, INC.
June 30, 1995 - April 18, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 1994 - June 13, 1995
UBS FINANCIAL SERVICES INC.
December 21, 1993 - February 17, 1995
MONTANO SECURITIES CORPORATION
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
EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| RANDALL, RONALD ALLAN | PRINCIPAL OPERATIONS OFFICER | 2946509 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
Red Flags
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