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Detailed Report
DEREK GENE JOHNSTON
CRD#: 2726997
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6060 S AMERICAN PLAZA ST E
STE 400
TULSA, OK 74135
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2005 (4 years)2 FIRMS2005 - 2018 (13 years)2 FIRMS2018 - 2023 (4 years)2 FIRMS2023 - Present (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)1996 - 2001 (5 years)
Disclosure(s)
View By:
1/27/2003
Customer Dispute
Denied
8/9/2002
Customer Dispute
Denied
License(s)

State Registrations

B
California 4/6/2023
B
New York 4/6/2023
B
Colorado 4/6/2023
B
Oklahoma 4/6/2023
B
Delaware 4/6/2023
IA
Oklahoma 4/10/2023
B
Florida 4/6/2023
B
Texas 4/6/2023
B
Hawaii 4/6/2023
IA
Texas 4/6/2023
B
Idaho 1/26/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
6060 S AMERICAN PLAZA ST E STE 400, TULSA, OK 74135
TULSA, OK
Registered with this firm since 4/6/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6060 S AMERICAN PLAZA ST E STE 400, TULSA, OK 74135
TULSA, OK
Registered with this firm since 4/6/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/30/2018 - 05/03/2023 MORGAN STANLEY (CRD#:149777) Tulsa, OK
B
 11/30/2018 - 05/03/2023 MORGAN STANLEY (CRD#:149777) Tulsa, OK
IA
 09/23/2005 - 12/03/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TULSA, OK
B
 09/23/2005 - 12/03/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TULSA, OK
IA
 09/07/2001 - 09/30/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
 09/07/2001 - 09/30/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 04/30/1996 - 10/22/2001 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.