Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Johnston is an active Registered Representative and Investment Adviser Representative with over 30 years of experience in the financial services industry. Johnston holds a Series 6, 7, 24, 31, 63, 65, 79TO and SIE license, as well as the Certified Financial Planner designation. He is currently registered with Arete Wealth Advisors, LLC in Illinois and Florida. Previously, Johnston has worked with various firms including Private Consulting Group, Inc. and NFP Securities, Inc. In addition to providing investment advice, Johnston also offers financial planning, pension consulting and portfolio management services. He serves high net worth individuals, corporations, businesses, and pension and profit-sharing plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Non-discretionary investment advice regarding securities of affiliates of masterworks.io, llc.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Sharing in underwriting fees from an affiliated broker-dealer
1
2
TN
01/05/2023 - Present
Arete Wealth Advisors, LLC (Memphis TN)
TN
04/09/2001 - 12/31/2008
PRIVATE CONSULTING GROUP, INC. (MEMPHIS TN)
TX
07/10/2000 - 04/16/2001
NFP SECURITIES, INC. (AUSTIN TX)
OR
08/27/1999 - 07/10/2000
PRIVATE CONSULTING GROUP, INC. (PORTLAND OR)
GA
01/06/1998 - 08/31/1999
IFG NETWORK SECURITIES, INC. (ATLANTA GA)
CA
06/20/1996 - 01/09/1998
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
NY
11/21/1988 - 06/20/1996
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
NA
06/13/1988 - 07/09/1988
CONNECTICUT MUTUAL FINANCIAL SERVICES, INC.
NA
12/03/1987 - 06/28/1988
NORTHCUTT-OWEN AND COMPANY
NA
06/11/1987 - 09/18/1987
GENERAL FINANCIAL SERVICES, INC.
IA
Issued 11/02/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/15/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/24/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 07/21/1998
Series 7 - General Securities Representative Examination
BC
Issued 06/10/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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