Michael T. Carmody

JOHNSTONE BROKERAGE SERVICES

LOUISVILLE, KY 40223

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CRD#: 6028598

Professional summary

Michael Taylor Carmody, who also goes by Michael Taylor Carmody Mr., Michael Carmody, Michael T Carmody, Mike Carmody, is a registered financial professional currently at JOHNSTONE BROKERAGE SERVICES, LLC located in Louisville, Kentucky.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Taylor Carmody Mr. | Michael Carmody | Michael T Carmody | Mike Carmody

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 Michael Taylor Carmody'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

July 9, 2025 - Present

JOHNSTONE BROKERAGE SERVICES, LLC

Office #1: 1906 Stanley Gault Parkway, Louisville, KY 40223

CRD#: 301394

LOUISVILLE, KY

Past

September 12, 2024 - July 18, 2025

THE LEADERS GROUP, INC.

CRD#: 37157

Louisville, KY

Past

July 30, 2021 - January 10, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Past

March 9, 2015 - March 6, 2020

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546

DENVER, CO

Past

May 30, 2013 - September 13, 2013

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

March 12, 2012 - December 3, 2014

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(7/9/2025)

Alaska
(7/9/2025)

Arizona
(7/9/2025)

Arkansas
(7/9/2025)

California
(7/9/2025)

Colorado
(7/9/2025)

Connecticut
(7/9/2025)

Delaware
(7/9/2025)

District of Columbia
(7/9/2025)

Florida
(7/9/2025)

Georgia
(7/9/2025)

Hawaii
(7/9/2025)

Idaho
(7/9/2025)

Illinois
(7/9/2025)

Indiana
(7/9/2025)

Iowa
(7/9/2025)

Kansas
(7/9/2025)

Kentucky
(7/9/2025)

Louisiana
(7/9/2025)

Maine
(7/9/2025)

Maryland
(7/9/2025)

Massachusetts
(7/9/2025)

Michigan
(7/9/2025)

Minnesota
(7/9/2025)

Mississippi
(7/9/2025)

Missouri
(7/9/2025)

Montana
(7/9/2025)

Nebraska
(7/9/2025)

Nevada
(7/9/2025)

New Hampshire
(7/9/2025)

New Jersey
(7/9/2025)

New York
(7/9/2025)

North Carolina
(7/9/2025)

North Dakota
(7/9/2025)

Ohio
(7/11/2025)

Oklahoma
(7/9/2025)

Oregon
(7/9/2025)

Pennsylvania
(7/9/2025)

Rhode Island
(7/9/2025)

South Carolina
(7/9/2025)

South Dakota
(7/9/2025)

Tennessee
(7/9/2025)

Texas
(7/9/2025)

Utah
(7/9/2025)

Vermont
(7/9/2025)

Virginia
(7/9/2025)

Washington
(7/9/2025)

West Virginia
(7/9/2025)

Wisconsin
(7/9/2025)

Wyoming
(7/9/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/29/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/13/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/10/2012

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/18/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/15/2023

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394 / SEC#: , 8-70335

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1906 Stanley Gault Parkway, Louisville, KY 40223

Mailing Address

117 San Augustine Street, Center, TX 75935

Phone number

(936) 340-2929

Established

Texas since 12/31/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DPL FINANCIAL PARTNERS, LLC	PARENT COMPANY
ARCH PORTFOLIO TRUST, LLC	MEMBER.
NAVEED, HASNAIN	FINOP	7004810
PULLIAM, MICHELLE CARROLL	CHIEF COMPLIANCE OFFICER	4013218
SMITH, ROY THOMAS	MANAGING PRINCIPAL	2542940

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.

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Advisor Monitoring

Firm Stability Insights

Michael T. Carmody

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Taylor Carmody's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

CHARLES SCHWAB & CO., INC.

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CURIAN CAPITAL, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/2013

Series 63

Date: 4/13/2012

SIE

Date: 10/1/2018

Series 7

Date: 5/21/2014

Series 6

Date: 3/10/2012

Series 10

Date: 4/18/2023

Series 9

Date: 3/15/2023

FINRA

Current Firm

JOHNSTONE BROKERAGE SERVICES, LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

JOHNSTONE BROKERAGE SERVICES, LLC

TRUST BUT VERIFY

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