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DF

Duane E. Flynn

JOHNSTONE BROKERAGE SERVICES
Louisville, KY 40223
Some features on this profile are disabled
CRD#: 4188179
DF

Professional summary

Duane Edward Flynn, who also goes by Duane Edward Flynn, is a registered financial professional currently at JOHNSTONE BROKERAGE SERVICES, LLC located in Louisville, Kentucky.

Duane is registered as a RR (Registered Representative) and started their career in finance in 2000. Duane has worked at 9 firms and has passed the Series 63, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Duane Edward Flynn

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) - BD

Click below to view Duane Edward Flynn's CRS (Customer Relationship Summary).
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

October 24, 2025 - Present

JOHNSTONE BROKERAGE SERVICES, LLC

Office #1: 1906 Stanley Gault Pkwy, Louisville, KY 40223Office #2: 1906 Stanley Gault Parkway, Louisville, KY 40223
BD
CRD#: 301394
Louisville, KY
Past

September 23, 2024 - October 29, 2025

THE LEADERS GROUP, INC.

BD
CRD#: 37157
Louisville, KY
Past

January 7, 2022 - August 21, 2024

RETIREONE INVESTMENT SERVICES, LLC

BD
CRD#: 269923
LOUISVILLE, KY
Past

July 8, 2021 - January 4, 2022

P.J. ROBB VARIABLE, LLC

BD
CRD#: 38339
MEMPHIS, TN
Past

May 28, 2015 - January 26, 2017

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

April 29, 2014 - May 29, 2015

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

January 3, 2008 - January 30, 2014

P.J. ROBB VARIABLE, LLC

BD
CRD#: 38339
MEMPHIS, TN
Past

November 1, 2006 - December 31, 2007

UNDERWRITERS EQUITY CORPORATION

BD
CRD#: 36537
OAKBROOK TERRACE, IL
Past

January 30, 2006 - October 6, 2006

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

October 4, 2002 - August 5, 2005

EVERLAKE DISTRIBUTORS, LLC

BD
CRD#: 100460
NORTHBROOK, IL
Past

September 19, 2000 - October 4, 2002

AFD, INC.

BD
CRD#: 34047
NORTHBROOK, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(11/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/18/2003
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

JB
JOHNSTONE BROKERAGE SERVICES, LLC
JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394 / SEC#: , 8-70335

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1906 Stanley Gault Parkway, Louisville, KY 40223
Mailing Address
117 San Augustine Street, Center, TX 75935
Phone number
(936) 340-2929
Established
Texas since 12/31/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPL FINANCIAL PARTNERS, LLCPARENT COMPANY
ARCH PORTFOLIO TRUST, LLCMEMBER.
NAVEED, HASNAINFINOP7004810
PULLIAM, MICHELLE CARROLLCHIEF COMPLIANCE OFFICER4013218
SMITH, ROY THOMASMANAGING PRINCIPAL2542940

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

JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394Louisville, KY 40223

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