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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-03-21
  • TX RA
    APPROVED
    Since 2024-03-21

Branch Locations

12513 Quaker Ave, Lubbock, TX 79424 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisors Llc Denver CO 05/2013 Present
Gaschen, Johnston And Associates, Llc Lubbock TX 01/2013 06/2019
Johnston Wealth Management, Llc Lubbock TX 06/2019 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Unicorn Financial, Llc Dba Johnston Wealth Management Lubbock TX 01/2026 Present
  • 05/2013 → Present
    Cetera Advisors Llc
    Denver, CO
  • 01/2013 → 06/2019
    Gaschen, Johnston And Associates, Llc
    Lubbock, TX
  • 06/2019 → Present
    Johnston Wealth Management, Llc
    Lubbock, TX
  • 03/2024 → Present
    Schaumburg, IL
  • 01/2026 → Present
    Unicorn Financial, Llc Dba Johnston Wealth Management
    Lubbock, TX
Previous Registrations
Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 04/2013 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE. 2. NAME OF OTHER BUSINESS: JOHNSTON WEALTH MANANGEMENT, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2019 POSITION/TITLE/RELATIONSHIP: REGISTERED REP/IAR APX NUMBER OF HOURS PER WEEK: 45 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: SEEKING SITTERS TEXAS; INVESTMENT RELATED: NO; ADDRESS: 5907 112TH STREET, LUBBOCK, TX 79424; NATURE OF BUSINESS: CHILDCARE; START DATE: 09/2018; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: HANDLE BILLING AND KEEPING THE BOOKS; 4. NAME OF OTHER BUSINESS: DAVIS CANNON FAMILY LLC ; INVESTMENT RELATED: NO; ADDRESS: 3521 154TH ST LUBBOCK, TX 79423; NATURE OF BUSINESS: FARMLAND; START DATE: 01/2019; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MEMBER,NO DUTIES OR RESPONSIBILITIES, FARMLAND; 5. NAME OF OTHER BUSINESS: UNICORN FINANCIAL, LLC DBA JOHNSTON WEALTH MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2026, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-06-25
  • S66 Uniform Combined State Law Examination
    2013-06-25

View on SEC IAPD

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