Douglas E. 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 Edward Johnston, who also goes by Douglas Johnston, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1996. Douglas had worked at 3 firms and has passed the Series 66, 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
January 21, 2016 - May 2, 2016
FIRST EMPIRE ASSET MANAGEMENT, INC
December 14, 2015 - May 2, 2016
FIRST EMPIRE SECURITIES, INC.
October 15, 1996 - January 25, 2007
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
FIRST EMPIRE ASSET MANAGEMENT, INC
CRD#: 134411 / SEC#: 801-69470
Contact information
Red Flags
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