Kristy K. Johnson
Professional summary
Kristy Kay Johnson, who also goes by Kristy Kay Hale, Kristy Kay Mongeau, is a registered financial professional currently at SUNDIAL GROUP, LLC located in Ft. Lauderdale, Florida and TIME EQUITIES SECURITIES LLC located in New York, New York.
Kristy is registered as a RR (Registered Representative) and started their career in finance in 2002. Kristy has worked at 37 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kristy Kay Johnson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2014 - Present
SUNDIAL GROUP, LLC
Office #1: 200 East Broward Boulevard Suite 1200, Ft. Lauderdale, FL 33301February 14, 2018 - Present
TIME EQUITIES SECURITIES LLC
Office #1: 55 Fifth Avenue - 15th Floor, New York, NY 10003April 20, 2020 - Present
FINAMEX INTERNATIONAL, LLC
Office #1: 2700 Post Oak Blvd. 22nd Floor, Suite 22-122, Houston, TX 77056October 4, 2021 - Present
RCX CAPITAL GROUP, LLC
January 4, 2022 - Present
HILLWORTH BANK PARTNERS
Office #1: 3307 Northland Drive, Suite 300, Austin, TX 78731November 13, 2023 - Present
TRB CAPITAL MARKETS, LLC
Office #1: 6770 West Expressway 83, Harlingen, TX 78552May 22, 2024 - May 15, 2025
AEC TRANSACTION SERVICES LLC
May 21, 2024 - December 5, 2024
ESTRADA HINOJOSA & COMPANY, INC.
May 11, 2018 - September 5, 2018
LINDEN THOMAS AND COMPANY SECURITIES, LLC
June 23, 2016 - July 31, 2018
AFL-CIO ITC FINANCIAL, LLC
February 10, 2015 - June 1, 2023
RHCA SECURITIES, LLC
October 23, 2014 - June 1, 2020
NHCOHEN CAPITAL LLC
September 20, 2013 - December 23, 2013
SUNDIAL GROUP, LLC
July 11, 2013 - December 13, 2013
KITTLE CAPITAL MARKETS, LLC
April 22, 2013 - December 10, 2013
TIME EQUITIES SECURITIES LLC
April 19, 2013 - December 9, 2013
RCX CAPITAL GROUP, LLC
July 11, 2012 - December 10, 2013
KISKI SECURITIES LLC
September 13, 2011 - October 15, 2012
RCX CAPITAL GROUP, LLC
May 11, 2011 - December 12, 2013
ASPEN RIVER SECURITIES, LLC
November 10, 2010 - September 25, 2012
FIRST MIDWEST SECURITIES, INC.
November 4, 2010 - May 1, 2012
RIVERROCK SECURITIES, LLC
August 17, 2010 - July 6, 2011
BIC DISTRIBUTORS, LLC
August 17, 2010 - November 4, 2011
GCP SECURITIES, INC.
August 12, 2010 - September 2, 2011
USCA SECURITIES LLC
June 21, 2010 - January 6, 2012
TRANSACT CAPITAL SECURITIES, LLC
June 10, 2010 - January 5, 2011
FUNDS PLACEMENT GROUP, LLC
March 30, 2010 - September 3, 2013
VALORES FINAMEX INTERNATIONAL, INC.
July 31, 2009 - January 7, 2010
MIDLAND SECURITIES, LTD
July 31, 2009 - December 11, 2013
HITHERLANE PARTNERS, LLC
July 22, 2008 - September 23, 2008
DCMB SECURITIES LLC
September 6, 2006 - June 1, 2010
THE HOGAN COMPANY
January 26, 2006 - February 7, 2008
CSP SECURITIES, LP
July 20, 2005 - August 2, 2010
PANATTONI SECURITIES, INC.
June 27, 2005 - December 19, 2006
MITCHELL ENERGY ADVISORS, LLC
May 2, 2005 - June 1, 2005
THE HOGAN COMPANY
May 28, 2004 - August 31, 2004
KOVITZ SECURITIES, LLC
January 30, 2004 - December 18, 2013
FIRST PUBLIC, LLC
December 8, 2003 - August 12, 2004
WESTCOTT SECURITIES, LLC
May 13, 2003 - May 29, 2003
JUNIPER ADVISORY L.P.
September 16, 2002 - February 2, 2005
RIVINGTON SECURITIES, LLC
May 16, 2002 - September 4, 2003
COASTAL BANC CAPITAL CORP.
April 3, 2002 - November 12, 2003
HAND SECURITIES, INC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
TRB CAPITAL MARKETS, LLC
CRD#: 322618 / SEC#: , 8-70999
Contact information
FINRA licenses (21 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS REGIONAL BANK | OWNER | |
| COULTER, ROBERT VINCENT | CHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL | 4211707 |
| HEBERT, MICHAEL JAMES | COMPLIANCE OFFICER/VP/SROP | 1229298 |
| HINOJOSA, NOE JR | PRESIDENT - MUNICIPAL BANKING | 1782212 |
| JOHNSON, KRISTY KAY | FINOP | 4470948 |
| TIPPIT, JOHN LEE IV | CEO/PRESIDENT OF CAPITAL MARKETS | 5809446 |
Red Flags
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Company Information
TRB CAPITAL MARKETS, LLC
CRD#: 322618Ft. Lauderdale, FL 33301TRUST BUT VERIFY
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