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Roy Allen Johnston

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Information

Firm:
Type: SEC and FINRA Registered
Description

Roy Johnston is a financial professional at VSR Advisory Services, a broker-dealer with 448 registered representatives nationwide. Roy has held an industry securities registration for 29 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Vsr Financial Services, Inc 4 years, 8 months Jan 2011 - Present
Vsr Advisory Services, Inc 4 years, 8 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 29 years, 1 month Aug 1986 - Present
Exams
ExamSeriesPassed Date
Futures Managed Funds ExaminationSeries 31 10/15/2004
Uniform Investment Adviser Law ExaminationSeries 65 09/28/1993
General Securities Principal ExaminationSeries 24 11/02/1987
Uniform Securities Agent State Law ExaminationSeries 63 04/04/1985
General Securities Representative ExaminationSeries 7 03/16/1985

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

Roy Allen Johnston has not contributed any Financial Articles.
*Answers and articles 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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

No Disclosures Found

As of Date
10/03/2014
04/21/2014
*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.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees