Home  >  BrightScope Advisor Pages  >  Roy Allen Johnston

Information

Firm:
Type: Dual Registration
Description

Roy Johnston is a financial professional at VSR Advisory Services, a broker-dealer with 458 registered representatives nationwide. Roy has held an industry securities registration for 28 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Roy Allen Johnston has not answered any questions on Financial Q&A.

Top Guides

Roy Allen Johnston has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Vsr Financial Services, Inc. 3 years, 3 months Jan 2011 - Present
Vsr Advisory Services, Inc. 3 years, 3 months Jan 2011 - Present
Smh Capital Advisors, Inc. 9 years Dec 2001 - Dec 2010
Carnegie Wealth Advisors, LLC 9 years Dec 2001 - Dec 2010
Sanders Morris Harris Inc. 9 years Dec 2001 - Dec 2010
Carnegie Wealth Management 27 years, 8 months Aug 1986 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/25/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
04/25/2013
11/27/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Futures Managed Funds Examination Series 31 10/15/2004
Uniform Investment Adviser Law Examination Series 65 09/28/1993
General Securities Principal Examination Series 24 11/02/1987
Uniform Securities Agent State Law Examination Series 63 04/04/1985
General Securities Representative Examination Series 7 03/16/1985

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees