Davis J. 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.
Davis James Johnston, who also goes by Davis J Johnston, Davis Johnston, was a registered financial professional .
Davis is a previously registered financial professional and started their career in finance in 2001. Davis had worked at 10 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 55 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
August 22, 2024 - February 13, 2026
ROBINHOOD FINANCIAL, LLC
October 3, 2023 - July 31, 2024
PRUCO SECURITIES, LLC.
October 3, 2023 - July 31, 2024
PRUCO SECURITIES, LLC.
May 31, 2019 - August 10, 2023
LPL FINANCIAL LLC
May 31, 2019 - August 10, 2023
LPL FINANCIAL LLC
November 6, 2017 - April 25, 2019
EDWARD JONES
November 6, 2017 - April 25, 2019
EDWARD JONES
October 26, 2015 - August 14, 2017
TD AMERITRADE, INC.
October 26, 2015 - August 14, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 15, 2015 - August 14, 2017
TD AMERITRADE, INC.
November 5, 2004 - June 8, 2015
CMZ TRADING, LLC
August 5, 2003 - October 12, 2004
RONIN CAPITAL, LLC
June 5, 2002 - November 18, 2002
PORTFOLIO BROKERAGE SERVICES, INC.
October 5, 2001 - December 31, 2001
SERVICE ASSET MANAGEMENT COMPANY
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
Series 55
Date: 11/14/2001
Limited Representative-Equity Trader ExamCurrent Firm
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
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 | 56 |
| Arbitration | 7 |
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.
