Joseph D. Johnston
Professional summary
Joseph David Johnston is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Minneapolis, Minnesota.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2012. Joseph has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph David Johnston's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2020 - Present
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
Office #1: 700 Nicolet Mall, Minneapolis, MN 55402December 23, 2014 - April 1, 2020
PRUCO SECURITIES, LLC.
September 13, 2012 - July 31, 2014
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/1/2020)
Exams
FINRA
Current Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | CHIEF OPERATING OFFICER | 5841463 |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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