Kathryn M. 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.
Kathryn Matthews Johnston, who also goes by Kathryn Matthews Beswick, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2010. Kathryn had worked at 4 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2011 - July 1, 2011
CCM EQUITIES, LLC
October 12, 2010 - September 2, 2015
CCM SECURITIES, LLC
September 1, 2010 - October 22, 2010
FORMATION HOLDINGS, LLC
August 12, 2010 - October 13, 2015
BLUEFIN CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
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Exams
Current Firm
CCM EQUITIES, LLC
CRD#: 149084 / SEC#: , 8-68103
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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