Stephen Mcleod Johnson
Professional Summary
Stephen Mcleod Johnson, who also goes by Stephen M. Johnson, Stephen M Johnson, Johnson Mcleod Stephen, is a registered financial advisor currently at INSTINET, LLC located in New York, New York. Stephen is registered as a RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 6 firms and has passed the Series 99TO, SIE, Series 7, Series 53, Series 14, Series 27, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen M. Johnson, Stephen M Johnson, Johnson Mcleod Stephen
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Contact Information
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Disclosures on record.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.
Contact Information
Main Address
Worldwide Plaza 309 West 49th Street, New York, NY, 10019Mailing Address
Worldwide Plaza 309 West 49th Street, New York, NY, 10019Phone Number
(212) 310-9500Established
Delaware since 06/01/2006Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
Medium# of Employees
87FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET HOLDINGS INCORPORATED | DIRECT OWNER | — |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER | 2976702 |
| CONE, RANDI J | CHIEF COMPLIANCE OFFICER | 4811453 |
| JOYCE, JOSEPH ANDREW | HEAD OF OPERATIONS | 3123657 |
| KENNIFF, ALICE M | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | 5615714 |
| MILLIGAN, GERARD THOMAS | PRESIDENT | 2907544 |
| SCHAFFNER, CHRISTY E | PRINCIPAL FINANCIAL OFFICER | 2710171 |
| SISKOVIC, JULIE MARIE | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | 1385048 |
| WEBB, FARON ROSS | GENERAL COUNSEL | 2452057 |
Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - BD
Click below to view Stephen Mcleod Johnson's CRS (Customer Relationship Summary).
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