James Douglas Johnston
Investment Adviser Representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Douglas Johnston is an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Washington, DC, where they have been registered since 2024, the year they entered the securities industry. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in District of Columbia and Texas.
Office
Advisors at this office: 206
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- District of Columbia, Texas
- Broker:
50 states and territories
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 2023 – no end date reportedWashington, DC
- National Coney IslandJun 2017 – Aug 2017Roseville, MI
- Yoberri GourmetJun 2018 – Aug 2018Chicago, IL
- National Coney IslandJun 2019 – Aug 2019Roseville, MI
- National Coney IslandJun 2020 – Aug 2020Roseville, MI
- National Coney IslandJun 2021 – Aug 2021Roseville, MI
- Good Karma FoodsSep 2021 – Jun 2022Boulder, CO
- Space4GoodJun 2022 – Aug 2022Amsterdam
- Unemployed - StudentJul 2013 – Jun 2017Chicago, IL
- In schoolAug 2017 – Jun 2018Boulder, CO
- In schoolAug 2018 – Jun 2019Boulder, CO
- In schoolAug 2019 – Jun 2020Boulder, CO
- In schoolAug 2020 – Jun 2021Boulder, CO
- unemployed - in schoolAug 2022 – Jan 2023Boulder, CO
- Eldora Ski & Ride SchoolJan 2023 – Jun 2023Nederland, CO
- University at BoulderMar 2023 – May 2023-Boulder, CO
- UnemployedMay 2023 – Jun 2023-Boulder, CO
- Colorado University at BoulderAug 2019 – May 2023-Boulder, CO
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Merrill Lynch, Pierce, Fenner & Smith Incorporated
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Small Business 401(k) plans including Group 401(k) and Individual 401(k), SEP IRA, SIMPLE IRA, investment fiduciary services, recordkeeping, trading, custodial and financial wellness services, and call center educational support for employees.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 25,472
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-14235
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 24, 2026
View full firm profileOther advisors at Merrill Lynch, Pierce, Fenner & Smith Incorporated
Showing 12 of 25,472 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Douglas Johnston has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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