Articles Tagged with John Johnston

John Johnston

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Oklahoma-based Wells Fargo Clearing Services broker/adviser John Johnston has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Johnston (CRD# 2799351).

John Johnston has spent 22 years in the securities industry and has been registered with Wells Fargo Clearing Services in Tulsa, Oklahoma since June 2017. Previous registrations include BOK Financial Services in Broken Arrow, Oklahoma (2001-2017); Primevest Financial Services in St. Cloud, Minnesota (1999-2001); Investment Professionals in San Antonio, Texas (1999); and Dean Witter Reynolds in Purchase, New York (1996-1999). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 13, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 13, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on November 13, 1996; and Series 7 (General Securities Representative Examination), which he obtained on October 22, 1996. He is a registered broker and investment adviser with nine US states and territories: Arkansas, California, Florida, Kansas, Missouri, Nevada, Oklahoma, Texas, and Utah. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.