Brian D. Johnson
Professional summary
Brian D Johnson, who also goes by Brian D Johnson, Brian Deshun Johnson, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 12 firms and has passed the Series 65, Series 63, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian D Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2019 - Present
CASTLEOAK SECURITIES, LP
Office #1: 200 Vesey St. Fl 04, New York, NY 10281August 16, 2019 - December 10, 2019
SAN BLAS SECURITIES LLC
June 10, 2019 - September 21, 2019
IFS SECURITIES
November 12, 2018 - March 22, 2019
OPPENHEIMER & CO. INC.
February 7, 2018 - November 16, 2018
FIFTH THIRD SECURITIES, INC.
May 27, 2015 - February 13, 2018
WELLS FARGO SECURITIES, LLC
June 10, 2013 - May 21, 2015
FHN FINANCIAL SECURITIES CORP.
March 17, 2006 - May 8, 2013
CANTOR FITZGERALD & CO.
April 29, 2005 - April 12, 2006
RBC CAPITAL MARKETS, LLC
July 28, 2004 - April 12, 2006
RBC CAPITAL MARKETS, LLC
January 9, 2004 - August 6, 2004
MORGAN KEEGAN & COMPANY, LLC
December 4, 2001 - August 6, 2004
MORGAN KEEGAN & COMPANY, LLC
December 17, 1999 - December 5, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 1997 - December 22, 1999
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/14/2019)
(12/5/2019)
(10/21/2019)
(4/3/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamFINRA
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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