DJ
Davis J. Johnston
ROBINHOOD FINANCIAL
Lake Mary, FL 32746
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CRD#: 4418677
DJ
Professional summary
Davis James Johnston, who also goes by Davis J Johnston, Davis Johnston, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida.
Davis is registered as a RR (Registered Representative) and started their career in finance in 2001. Davis has worked at 10 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Davis J Johnston | Davis 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.
1. 05/31/2019 - PWA/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ CRYSTAL LAKE, IL 2. 05/31/2019 - PROFESSIONAL WEALTH ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ CRYSTAL LAKE, IL 3. 10/14/2022 - PWA Financial Services LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 09/06/2022 - 1 Hour Per Month/1 Hour During Securities Trading.
CRS (Client Relationship Summary) - BD
Click below to view Davis James Johnston'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®
NoneExperience
Current
August 22, 2024 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746BD
CRD#: 165998
Lake Mary, FL
Past
October 3, 2023 - July 31, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
DOWNERS GROVE, IL
Past
October 3, 2023 - July 31, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
DOWNERS GROVE, IL
Past
May 31, 2019 - August 10, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
DOWNERS GROVE, IL
Past
May 31, 2019 - August 10, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
DOWNERS GROVE, IL
Past
November 6, 2017 - April 25, 2019
EDWARD JONES
RIA
CRD#: 250
LIBERTYVILLE, IL
Past
November 6, 2017 - April 25, 2019
EDWARD JONES
BD
CRD#: 250
LIBERTYVILLE, IL
Past
October 26, 2015 - August 14, 2017
TD AMERITRADE, INC.
RIA
CRD#: 7870
NORTHBROOK, IL
Past
October 26, 2015 - August 14, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
NORTHBROOK, IL
Past
September 15, 2015 - August 14, 2017
TD AMERITRADE, INC.
BD
CRD#: 7870
NORTHBROOK, IL
Past
November 5, 2004 - June 8, 2015
CMZ TRADING, LLC
BD
CRD#: 132051
CHICAGO, IL
Past
August 5, 2003 - October 12, 2004
RONIN CAPITAL, LLC
BD
CRD#: 118428
CHICAGO, IL
Past
June 5, 2002 - November 18, 2002
PORTFOLIO BROKERAGE SERVICES, INC.
BD
CRD#: 18554
CHICAGO, IL
Past
October 5, 2001 - December 31, 2001
SERVICE ASSET MANAGEMENT COMPANY
BD
CRD#: 47157
AUSTIN, TX
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
Alabama(8/28/2024)
RR
Alaska(9/3/2024)
RR
Arizona(8/28/2024)
RR
Arkansas(8/26/2024)
RR
California(8/23/2024)
RR
Colorado(8/27/2024)
RR
Connecticut(8/23/2024)
RR
Delaware(8/28/2024)
RR
District of Columbia(8/28/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/26/2024)
RR
Hawaii(9/9/2024)
RR
Idaho(8/23/2024)
RR
Illinois(8/22/2024)
RR
Indiana(8/28/2024)
RR
Iowa(8/23/2024)
RR
Kansas(8/23/2024)
RR
Kentucky(8/30/2024)
RR
Louisiana(8/28/2024)
RR
Maine(8/23/2024)
RR
Maryland(8/27/2024)
RR
Massachusetts(8/23/2024)
RR
Michigan(8/26/2024)
RR
Minnesota(8/26/2024)
RR
Mississippi(8/28/2024)
RR
Missouri(8/23/2024)
RR
Montana(9/9/2024)
RR
Nebraska(8/23/2024)
RR
Nevada(8/28/2024)
RR
New Hampshire(8/23/2024)
RR
New Jersey(8/27/2024)
RR
New Mexico(8/28/2024)
RR
New York(8/29/2024)
RR
North Carolina(8/27/2024)
RR
North Dakota(9/3/2024)
RR
Ohio(8/23/2024)
RR
Oklahoma(8/29/2024)
RR
Oregon(8/30/2024)
RR
Pennsylvania(8/23/2024)
RR
Puerto Rico(9/18/2024)
RR
Rhode Island(8/23/2024)
RR
South Carolina(8/28/2024)
RR
South Dakota(8/30/2024)
RR
Tennessee(8/23/2024)
RR
Texas(8/23/2024)
RR
Utah(8/26/2024)
RR
Vermont(8/27/2024)
RR
Virgin Islands(8/30/2024)
RR
Virginia(8/28/2024)
RR
Washington(8/27/2024)
RR
West Virginia(8/28/2024)
RR
Wisconsin(8/22/2024)
RR
Wyoming(8/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/14/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
