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Managing Principal & Chief Compliance Officer of Johnstone Brokerage Services. Chief Compliance Officer & Chief Legal Officer of DPL Financial Partners.(936) 340-2929117 San Augustine Street, Center, TX 75935
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Attorney At LawJohnstone Law OfficeUnited States -
Chief Compliance Office & Chief Legal CounselDpl Financial Partners May 2023 - PresentLouisville, Kentucky, Us• Establish and monitor all aspects of the compliance program to maintain compliance with legal and regulatory requirements. • Integrate affiliate broker dealer to support broader business objectives.• Provide compliance policies and procedures for a team of approximately 45 registered representatives and various corporate departments to identify and mitigate risk.• Negotiate, report and resolve potential corporate liability exposure incidents.• Participate in Executive and Board meetings. Provide strategic leadership to compliance staff.• Manage the Supervising Principal, Managing Principal and compliance delegates.• Provide regulatory and administrative law advice and serve as a subject matter expert for broker-dealer and RIA business across the company.• Draft and implement Regulation Best Interest policies and procedures.• Assist with and supervise all civil litigation, arbitration and mediation involving the broker-dealer or the registered investment advisor and its representatives. -
Founder | Chief Compliance Officer | Managing PrincipalJohnstone Brokerage Services Jan 2020 - Present• Established, monitored and maintained all aspects of broker-dealer compliance policies and procedures. Drafted and maintained Written Supervisory Procedures.• Interact directly and regularly with FINRA, SEC, State regulators, investment companies, insurance carriers and clients regarding compliance matters, CMA, MAP, and MATCon filings.• Established a business model of employing registered investment advisors under a narrow allowance under FINRA Rule 2040. • Conduct quarterly compliance and annual testing and reporting under FINRA Rule 3120. Conducted annual financial audit and all aspects of the annual compliance meeting. Worked with FinOps to approve and submit quarterly FOCUS reports.• Monitor operational compliance, develop training programs, and conduct annual and quarterly compliance meetings.• Coordinate all regulatory examinations and investigations by the SEC and FINRA and state securities departments.• Represent organization for all internal and external compliance, financial audits and examinations.• Research, negotiate, review and draft all corporate contracts, bylaws and other legal documents.• Provide financial services and investment advice to clients as a registered representative.
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Managing DirectorMiracle Mile Advisors Jul 2021 - PresentLos Angeles, Ca, UsProviding continuity of service and support as an IAR to Johnstone Financial Advisors clients at Miracle Mile Advisors. -
Chief Executive Officer & Managing PrincipalJohnstone Financial Advisors Sep 2017 - Jun 2021Founded and served as Managing & Supervisory Principal of RIA.Researched, revised and maintained regulatory compliance policies and proceduresMonitored operational compliance, developed training programs, and conducted annual and quarterly compliance meetingsInteracted directly with FINRA, State regulators, investment companies, insurance carriers and clients regarding compliance mattersRepresented organization for all internal and external compliance, financial audits and examinationsResearched, negotiated, reviewed and drafted all corporate contracts, bylaws and other legal documentsProvided financial services and investment advice to clients as an IAR.
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Managing Principal & Senior Financial AdvisorJohnstone Financial Advisors Sep 2005 - Aug 2017
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First Vice President - Financial ConsultantSoloman Smith Barney Mar 1997 - Aug 2005Served clients as a Certified Financial Planner (CFP).
Grant Johnstone Skills
Grant Johnstone Education Details
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Baylor University School Of LawLaw -
Baylor University - Hankamer School Of BusinessEconomics
Frequently Asked Questions about Grant Johnstone
What company does Grant Johnstone work for?
Grant Johnstone works for Johnstone Law Office
What is Grant Johnstone's role at the current company?
Grant Johnstone's current role is Attorney At Law.
What is Grant Johnstone's email address?
Grant Johnstone's email address is gc****@****net.com
What is Grant Johnstone's direct phone number?
Grant Johnstone's direct phone number is +150369*****
What schools did Grant Johnstone attend?
Grant Johnstone attended Baylor University School Of Law, Baylor University - Hankamer School Of Business.
What skills is Grant Johnstone known for?
Grant Johnstone has skills like Investments, Retirement Planning, Certified Financial Planner.
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