DJ
David K. Johnston
KESTRA PRIVATE WEALTH SERVICES
American Fork, UT 84003
Some features on this profile are disabled
CRD#: 726847
DJ
Professional summary
David Kay Johnston is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in American Fork, Utah and KESTRA INVESTMENT SERVICES, LLC located in American Fork, Utah.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: White Cap Wealth Management Investment Related: Yes Address: 3325 N University Ave. Suite 150 Provo UT 84604 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: CEO Start Date: 8/10/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Operate and run the businessBusiness Name: MoBuff LLC Investment Related: No Address: 67 N. Center St. American Fork UT 84003 Nature of Business: Real Estate Position, Title or Relationship: Member Start Date: 11/17/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Lease to tenants
CRS (Client Relationship Summary) - RIA
Click below to view David Kay Johnston's 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®
NoneExperience
Current
August 14, 2017 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 67 N. Center Street, American Fork, UT 84003RIA
CRD#: 155193
American Fork, UT
Current
August 10, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 67 N. Center Street, American Fork, UT 84003BD
CRD#: 42046
American Fork, UT
Past
June 1, 2009 - August 11, 2017
MORGAN STANLEY
RIA
CRD#: 149777
PROVO, UT
Past
June 1, 2009 - August 11, 2017
MORGAN STANLEY
BD
CRD#: 149777
PROVO, UT
Past
April 21, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PROVO, UT
Past
April 17, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PROVO, UT
Past
April 8, 2003 - April 16, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SALT LAKE CITY, UT
Past
March 28, 2003 - April 16, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 31, 1993 - April 11, 2003
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PROVO, UT
Past
July 31, 1993 - April 11, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 16, 1983 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
October 4, 1983 - November 3, 1983
FOSTER & MARSHALL INC.
BD
CRD#: 321
Past
August 31, 1981 - October 14, 1983
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
March 23, 1981 - September 11, 1981
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(8/10/2017)
RR
California(8/10/2017)
RR
Colorado(8/10/2017)
RR
Connecticut(5/27/2025)
RR
Florida(10/17/2024)
RR
Georgia(3/24/2022)
RR
Idaho(8/10/2017)
RR
Indiana(3/24/2022)
RR
Iowa(10/13/2021)
RR
Kentucky(8/10/2017)
RR
Maryland(12/13/2021)
RR
Massachusetts(8/10/2017)
RR
Michigan(8/10/2017)
RR
Missouri(3/24/2022)
RR
Nevada(8/10/2017)
RR
North Carolina(8/10/2017)
RR
Ohio(8/10/2017)
RR
Oregon(8/10/2017)
RR
Tennessee(5/16/2023)
RR
Texas(8/10/2017)
RR
Utah(8/10/2017)
IAR
Utah(8/14/2017)
RR
Virginia(8/10/2017)
RR
Washington(8/10/2017)
RR
Wyoming(8/10/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/21/1990
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
