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TJ

Thomas L. Johnston

JOHNSTON INVESTMENT ADVISORY SERVICES
Littleton, CO
Some features on this profile are disabled
CRD#: 2990742
TJ

Professional summary

Thomas Leslie Johnston III, who also goes by Les Johnston, is a registered financial advisor currently at JOHNSTON INVESTMENT ADVISORY SERVICES, LLC located in Littleton, Colorado.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Thomas has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Les Johnston

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) - RIA

Click below to view Thomas Leslie Johnston III's CRS (Customer Relationship Summary).

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

Current

November 16, 2007 - Present

JOHNSTON INVESTMENT ADVISORY SERVICES, LLC

RIA
CRD#: 143408
Littleton, CO
Past

March 19, 1998 - May 5, 1999

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Colorado
(11/16/2007)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/5/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/13/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/6/1998
General Securities Representative Examination

Current Firm

JI
JOHNSTON INVESTMENT ADVISORY SERVICES, LLC
JOHNSTON INVESTMENT ADVISORY SERVICES, LLC | THOMAS L. JOHNSTON III

CRD#: 143408 / SEC#:

Colorado
Registered Investment Advisory firm - (11/16/2007 Approved)
Washington
Registered Investment Advisory firm - (1/4/2016 Terminated)
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Contact information

Main Address
Littleton, CO
Mailing Address
Phone number
(303) 667-5423
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts4
AUM (Assets Under Management)$ 12,257,253

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

JOHNSTON INVESTMENT ADVISORY SERVICES, LLC

CRD#: 143408Littleton, CO

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