Shane C. 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.
Shane Cameron Johnston was a registered financial professional .
Shane is a previously registered financial professional and started their career in finance in 2002. Shane had worked at 3 firms and has passed the Series 66 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
June 22, 2010 - October 1, 2018
MORLEY CAPITAL MANAGEMENT, INC.
June 14, 2010 - September 13, 2012
PRINCIPAL SECURITIES, INC.
October 19, 2007 - October 2, 2008
PRINCIPAL SECURITIES, INC.
October 17, 2002 - October 15, 2008
MORLEY CAPITAL MANAGEMENT, INC.
May 8, 2002 - August 31, 2007
NATIONWIDE FUND DISTRIBUTORS LLC
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
Current Firm
MORLEY CAPITAL MANAGEMENT, INC.
CRD#: 105339 / SEC#: 801-20608
Contact information
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.
