Kenneth M. 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.
Kenneth Merle Johnston, who also goes by Kenneth Merle Johnston Jr, Kenneth Johnston, Ken Johnston, Kenneth Merle Johnston, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1993. Kenneth had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2022 - August 3, 2023
VANGUARD MARKETING CORPORATION
January 7, 2022 - August 3, 2023
VANGUARD ADVISERS, INC.
January 11, 2017 - January 8, 2020
TD AMERITRADE, INC.
January 10, 2017 - January 8, 2020
TD AMERITRADE, INC.
January 10, 2017 - January 8, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 6, 2016 - August 13, 2016
CITRINE SECURITIES, LLC
June 12, 2013 - July 23, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
May 10, 2013 - August 26, 2015
J. W. COLE ADVISORS, INC.
May 10, 2013 - August 26, 2015
J.W. COLE FINANCIAL, INC.
May 2, 2007 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
March 9, 2007 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
July 9, 2002 - May 19, 2006
GIRARD SECURITIES, INC.
January 28, 2002 - May 19, 2006
GIRARD SECURITIES, INC.
May 11, 2001 - January 25, 2002
WS GRIFFITH SECURITIES, INC.
July 28, 2000 - May 10, 2001
GIRARD SECURITIES, INC.
February 10, 2000 - March 23, 2001
SENTRA SECURITIES CORPORATION
June 1, 1995 - March 23, 2001
SPELMAN & CO., INC.
December 16, 1993 - May 24, 1995
SECURITIES RESOLUTION 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
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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