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JJ

Julie R. Johnstone

SMH CAPITAL INVESTMENTS LLC
Ft. Worth, TX 76109
Some features on this profile are disabled
CRD#: 7902314
JJ

Professional summary

Julie Roseann Johnstone, who also goes by Julie Johnstone, Julie Roseann Ralston, is a registered financial professional currently at SMH CAPITAL INVESTMENTS LLC located in Ft. Worth, Texas.

Julie is registered as a RR (Registered Representative) and started their career in finance in 2024. Julie has worked at 1 firm and has passed the Series 28 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Julie Johnstone | Julie Roseann Ralston

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 Julie Roseann Johnstone'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

June 24, 2024 - Present

SMH CAPITAL INVESTMENTS LLC

Office #1: 4200 S. Hulen Suite 534, Ft. Worth, TX 76109
BD
CRD#: 24535
Ft. Worth, TX

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

Principal/Supervisory Exam
RR
Series 28
Date: 6/24/2024
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SMH CAPITAL INVESTMENTS LLC
SMH CAPITAL INVESTMENTS LLC | WESTPORT RESOURCES INVESTMENT SERVICES, INC.

CRD#: 24535 / SEC#: , 8-40904

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

Main Address
4200 S. Hulen Suite 534, Ft. Worth, TX 76109
Mailing Address
4200 S. Hulen Suite 534, Ft. Worth, TX 76109
Phone number
(817) 569-7000
Established
Texas since 06/18/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MOYERS ORGANIZATION LLCOWNER
MOYERS, DWAYNE ALANCEO/CCO/FINOP1850654

Disclosures

Regulatory Event3
Arbitration1

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

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535Ft. Worth, TX 76109

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