Berkeley W. 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.
Berkeley Willis Johnston was a registered financial advisor .
Berkeley is a previously registered financial advisor and started their career in finance in 1966. Berkeley had worked at 2 firms and has passed the Series 1 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
May 17, 2005 - September 30, 2009
RJJ PASADENA SECURITIES, INC.
December 1, 1980 - September 30, 2009
RJJ PASADENA SECURITIES, INC.
May 6, 1966 - January 1, 1981
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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 1
Date: 3/27/1962
Registered Representative ExaminationCurrent Firm
RJJ PASADENA SECURITIES, INC.
CRD#: 8425 / SEC#: , 8-25324
Contact information
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 98,209,850 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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