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MW

Marla J. Wooton

Some features on this profile are disabled
CRD#: 2409004
MW

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.

Marla Jean Wooton, who also goes by Marla Elliott, was a registered financial professional .

Marla is a previously registered financial professional and started their career in finance in 1993. Marla had worked at 10 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marla Elliott

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 22, 2023 - August 13, 2024

JOHNSTONE BROKERAGE SERVICES, LLC

BD
CRD#: 301394
LOUISVILLE, KY
Past

August 23, 2021 - June 28, 2022

JOHNSTONE BROKERAGE SERVICES, LLC

BD
CRD#: 301394
LOUISVILLE, KY
Past

November 5, 2009 - August 20, 2019

BEL AIR SECURITIES LLC

BD
CRD#: 134953
LOS ANGELES, CA
Past

November 29, 2006 - March 11, 2009

SANDGRAIN SECURITIES LLC

BD
CRD#: 26004
GARDEN CITY, NY
Past

January 13, 2001 - September 26, 2005

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

February 17, 2000 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

April 12, 1999 - August 28, 2000

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

October 1, 1998 - April 12, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

October 7, 1996 - October 1, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA
Past

July 20, 1995 - October 1, 1996

GATEWAY INVESTMENT SERVICES, INC.

BD
CRD#: 31153
OAK PARK, IL
Past

October 26, 1993 - June 22, 1995

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/25/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination

Current Firm

JB
JOHNSTONE BROKERAGE SERVICES, LLC
JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394 / SEC#: , 8-70335

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

Main Address
1906 Stanley Gault Parkway, Louisville, KY 40223
Mailing Address
117 San Augustine Street, Center, TX 75935
Phone number
(936) 340-2929
Established
Texas since 12/31/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPL FINANCIAL PARTNERS, LLCPARENT COMPANY
ARCH PORTFOLIO TRUST, LLCMEMBER.
NAVEED, HASNAINFINOP7004810
PULLIAM, MICHELLE CARROLLCHIEF COMPLIANCE OFFICER4013218
SMITH, ROY THOMASMANAGING PRINCIPAL2542940

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.

Company Information

JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394

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