Individual Firm
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DAVID ROBERT JOHNSTON
CRD#: 1793179
IA
B
WELLS FARGO ADVISORSCRD#: 19616 110 CONGRESSIONAL LN
ROCKVILLE, MD 20852
ROCKVILLE, MD 20852
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5/8/2001
Customer Dispute
Denied
State Registrations
B
Arizona 11/26/2019
B
North Carolina 10/1/2000
B
California 10/1/2000
B
Oregon 9/18/2014
B
Colorado 2/11/2019
B
Pennsylvania 10/1/2000
B
Delaware 10/1/2000
B
Rhode Island 2/16/2007
B
District of Columbia 10/1/2000
B
South Carolina 8/9/2006
B
Florida 10/1/2000
B
South Dakota 1/14/2008
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Maryland 3/11/1999
B
Tennessee 10/20/2023
B
Maryland 10/1/2000
B
Texas 1/23/2025
B
Massachusetts 7/7/2003
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Texas 1/24/2025
B
Michigan 4/3/2025
B
Virginia 10/1/2000
B
New Jersey 10/1/2000
B
Washington 3/8/2017
B
New Mexico 12/9/2021
B
West Virginia 10/1/2000
B
New York 10/1/2000
B
Wyoming 10/22/2007
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 3/11/1999
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Registered with this firm since 10/1/2000
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/01/1997 - 10/01/2000 | CHARLOTTE, NC | |
B | 01/15/1992 - 12/01/1997 | CHARLOTTE, NC | |
B | 02/23/1988 - 12/13/1991 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.