Derek C. 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.
Derek Charles Johnston was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 1992. Derek had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2013 - June 20, 2023
DEUTSCHE BANK SECURITIES INC.
August 9, 2011 - June 26, 2012
RAINMAKER SECURITIES, LLC
November 12, 2008 - August 27, 2009
NOBLE CAPITAL MARKETS, INC.
August 22, 2008 - December 5, 2008
TELSEY HOLDINGS LLC
May 10, 2005 - July 22, 2008
WEDBUSH SECURITIES INC.
July 14, 2004 - May 27, 2005
ADVEST, INC.
June 9, 2003 - March 24, 2004
SUSQUEHANNA FINANCIAL GROUP, LLLP
March 19, 2003 - May 12, 2003
CREDIT AGRICOLE SECURITIES (USA) INC.
October 19, 2000 - March 11, 2003
DEUTSCHE BANK SECURITIES INC.
August 16, 1999 - October 17, 2000
GLEACHER & COMPANY SECURITIES, INC.
July 22, 1996 - July 23, 1999
OSCAR GRUSS & SON INCORPORATED
August 25, 1995 - June 5, 1996
BROOKEHILL CAPITAL PARTNERS LIMITED
January 27, 1995 - August 14, 1995
FINANCIAL CONSULTANT GROUP, LLC
July 2, 1992 - September 14, 1994
FLEET BROKERAGE SECURITIES, INC.
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
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
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
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.
