Douglas S. Johnston
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.
Douglas Stewart Johnston was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1979. Douglas had worked at 15 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2012 - June 26, 2014
BRILL SECURITIES, INC.
November 23, 2004 - April 15, 2010
NORTHERN CAPITAL SECURITIES CORPORATION
October 25, 2000 - January 21, 2003
CAROLINA CAPITAL MARKETS, INC.
July 16, 1998 - November 11, 1998
MISCHLER FINANCIAL GROUP, INC.
December 14, 1995 - August 5, 1996
RODMAN & RENSHAW INC.
June 3, 1994 - August 15, 1995
YAMAICHI INTERNATIONAL (AMERICA) INC.
October 7, 1992 - June 10, 1994
SUTRO & CO. INCORPORATED
March 2, 1992 - October 16, 1992
STATEN SECURITIES CORPORATION
May 26, 1989 - March 8, 1990
HUNTER, KEITH, MARSHALL & CO., INCORPORATED
September 24, 1986 - October 18, 1988
ALEX. BROWN & SONS INCORPORATED
June 25, 1984 - October 20, 1986
KIDDER, PEABODY & CO. INCORPORATED
June 22, 1982 - May 30, 1984
PRUDENTIAL EQUITY GROUP, LLC
February 27, 1981 - June 22, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 27, 1981 - August 10, 1983
EQUITABLE ADVISORS, LLC
April 2, 1979 - January 31, 1981
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BRILL SECURITIES, INC.
CRD#: 18565 / SEC#: 801-61275, 8-36654
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
Red Flags
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