Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Johnston is a securities professional with over 30 years of experience in the financial industry. Philip is currently registered with Brean Capital, LLC, a firm that provides a wide range of financial services. Philip has a strong track record of success in the industry, having held positions at a number of reputable firms. He is a licensed Series 7, 24, 55, 57TO, and 79 representative. Philip is also a licensed securities agent in California and New York.
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.
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.
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2
CA
04/09/2015 - Present
Brean Capital, LLC (Menlo Park CA)
CA
05/01/2014 - 04/10/2015
SANCTUARY SECURITIES LLC (SAN FRANCISCO CA)
CA
09/08/2005 - 11/05/2012
THINKEQUITY LLC (SAN FRANCISCO CA)
NY
10/02/2002 - 08/12/2005
FIRST ALBANY CAPITAL INC. (NEW YORK NY)
NY
05/01/2001 - 06/20/2002
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
02/05/2001 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
02/01/2000 - 02/05/2001
CHASE SECURITIES INC. (NEW YORK NY)
CA
04/18/1995 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NY
08/17/1992 - 09/08/1992
BANCA IMI SECURITIES CORP. (NEW YORK NY)
CA
01/07/1991 - 08/17/1992
HAMBRECHT & QUIST INCORPORATED (SAN FRANCISCO CA)
MO
09/04/1990 - 12/05/1990
KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)
NA
08/24/1989 - 09/04/1990
BOETTCHER & COMPANY, INC.
CT
03/15/1989 - 08/28/1989
ADVEST, INC. (HARTFORD CT)
LA
11/25/1987 - 08/30/1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC. (NEW ORLEANS LA)
BC
Issued 12/31/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/26/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2015
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 01/11/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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