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SJ

Scott L. Johnston

Some features on this profile are disabled
CRD#: 6921183
SJ

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.

Scott Lochwood Johnston was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2018. Scott had worked at 3 firms and has passed the SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 8, 2025 - February 9, 2026

AKUNA SECURITIES LLC

BD
CRD#: 159041
CHICAGO, IL
Past

August 31, 2021 - May 16, 2024

HRT FINANCIAL LP

BD
CRD#: 152144
Chicago, IL
Past

March 29, 2018 - September 8, 2020

CITADEL SECURITIES LLC

BD
CRD#: 116797
MIAMI, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/29/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/31/2010
National Commodity Futures Examination

Current Firm

AS
AKUNA SECURITIES LLC
AKUNA SECURITIES LLC

CRD#: 159041 / SEC#: , 8-68957

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

Main Address
333 S. Wabash Ave. Suite 2600, Chicago, IL 60604
Mailing Address
333 S. Wabash Ave. Suite 2600, Chicago, IL 60604
Phone number
(312) 994-4640
Established
Delaware since 08/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AKUNA TRADING LLCMANAGER
ALEXIEVA, NELI MIHAYLOVACFO6854926
DUCKWORTH, RYAN JAMESCEO5970652
HYER, THOMAS MICHAELCHIEF RISK OFFICER5916927
JAVIER TORRES, CHRISTINA MARIECCO, AML-CO6618037
RIP, OLGAFINOP5440553

Disclosures

Regulatory Event7

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.

Company Information

AKUNA SECURITIES LLC

CRD#: 159041

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