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DJ

Davis J. Johnston

TRADESTATION SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4418677
DJ

Professional summary

Davis James Johnston, who also goes by Davis J Johnston, Davis Johnston, D.j. Johnston, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Chicago, Illinois.

Davis is registered as a RR (Registered Representative) and started their career in finance in 2001. Davis has worked at 11 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 | D.j. 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) - BD

Click below to view Davis James Johnston'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

May 11, 2026 - Present

TRADESTATION SECURITIES, INC.

Office #1: 120 South Riverside Plaza Suite 1650, Chicago, IL 60606
BD
CRD#: 39473
Chicago, IL
Past

August 22, 2024 - February 13, 2026

ROBINHOOD FINANCIAL, LLC

BD
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
(5/13/2026)
RR
Alaska
(5/18/2026)
RR
California
(5/13/2026)
RR
Colorado
(5/13/2026)
RR
Connecticut
(5/15/2026)
RR
Delaware
(5/13/2026)
RR
Florida
(5/13/2026)
RR
Hawaii
(5/12/2026)
RR
Idaho
(5/13/2026)
RR
Illinois
(5/12/2026)
RR
Indiana
(5/13/2026)
RR
Iowa
(5/13/2026)
RR
Kansas
(5/13/2026)
RR
Kentucky
(5/12/2026)
RR
Louisiana
(5/13/2026)
RR
Maine
(5/14/2026)
RR
Massachusetts
(5/13/2026)
RR
Michigan
(5/13/2026)
RR
Minnesota
(5/13/2026)
RR
Mississippi
(5/15/2026)
RR
Missouri
(5/13/2026)
RR
Montana
(5/14/2026)
RR
Nebraska
(5/13/2026)
RR
Nevada
(5/13/2026)
RR
New Hampshire
(5/13/2026)
RR
New Jersey
(5/13/2026)
RR
New Mexico
(5/13/2026)
RR
New York
(5/12/2026)
RR
North Carolina
(5/12/2026)
RR
North Dakota
(5/18/2026)
RR
Ohio
(5/11/2026)
RR
Oklahoma
(5/19/2026)
RR
Pennsylvania
(5/13/2026)
RR
Rhode Island
(5/13/2026)
RR
South Carolina
(5/13/2026)
RR
South Dakota
(5/13/2026)
RR
Tennessee
(5/14/2026)
RR
Texas
(5/12/2026)
RR
Utah
(5/12/2026)
RR
Vermont
(5/13/2026)
RR
Virginia
(5/14/2026)
RR
Washington
(5/14/2026)
RR
West Virginia
(5/14/2026)
RR
Wisconsin
(5/14/2026)
RR
Wyoming
(5/13/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/22/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/10/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 9/23/2024
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/14/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/4/2001
General Securities Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

TS
TRADESTATION SECURITIES, INC.
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.

CRD#: 39473 / SEC#: , 8-48711

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Loading...

Contact information

Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Phone number
(954) 652-7900
Established
Florida since 09/07/1995
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRADESTATION GROUP, INC.OWNER - PARENT CORPORATION
BOLEK, JOHN MITCHELLPRINCIPAL OPERATIONS OFFICER2363046
KOROTKIY, PETERPRESIDENT & CHIEF OPERATING OFFICER2706102
MORMILE-WOLPER, MYRA CHRISTINEGENERAL COUNSEL AND ASSISTANT SECRETARY6753154
ROJEK, JAMES HCHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER3096214
WALTON, HERBERTCHIEF COMPLIANCE OFFICER4030847

Disclosures

Regulatory Event28
Arbitration4

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

TRADESTATION SECURITIES, INC.

CRD#: 39473Chicago, IL 60606

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