Russell L. Goings
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Russell Lee Goings, who also goes by Russel Lee Goings III, Russell Lee Goings III, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1982. Russell had worked at 19 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 50, Series 7, Series 5, Series 54, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2023 - May 19, 2025
CALDWELL SUTTER CAPITAL, INC.
December 22, 2022 - January 24, 2023
SAN BLAS SECURITIES LLC
January 8, 2020 - December 7, 2022
MELVIN SECURITIES, L.L.C.
September 18, 2019 - December 17, 2019
SB ADVISORY, LLC
September 10, 2019 - December 17, 2019
SAN BLAS SECURITIES LLC
February 6, 2019 - September 9, 2019
IFS SECURITIES
August 18, 2010 - December 6, 2018
HUNTINGTON SECURITIES, INC.
January 5, 2009 - August 17, 2010
CABRERA CAPITAL MARKETS, LLC
May 1, 2007 - January 6, 2009
FIRST SOUTHWEST COMPANY, LLC
September 14, 2006 - April 17, 2007
NAFA CAPITAL MARKETS, LLC
May 22, 1997 - April 17, 2007
GLEACHER & COMPANY SECURITIES, INC.
July 27, 1993 - January 5, 1996
LAZARD FRERES & CO. LLC
April 21, 1992 - August 10, 1993
LP CHARLES & COMPANY, INC.
September 21, 1987 - April 4, 1992
RIDEAU LYONS & CO.
January 27, 1986 - September 9, 1987
UNITED DANIELS SECURITIES, INC.
July 5, 1985 - March 18, 1986
CARTWRIGHT SECURITIES, INC.
October 17, 1983 - October 10, 1984
THOMSON MCKINNON SECURITIES INC.
June 7, 1983 - September 20, 1983
KENNEDY, CABOT & CO.
March 2, 1983 - April 5, 1983
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
January 3, 1982 - November 29, 1982
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CALDWELL SUTTER CAPITAL, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
CALDWELL SUTTER CAPITAL, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE HELMER FAMILY TRUST DATED 3/8/2022 | SHAREHOLDER | |
| JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005 | SHAREHOLDER | |
| ALLEN, MARI | MANAGING DIRECTOR | 1705748 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF FINANCIAL OFFICER | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | FINANCIAL AND OPERATIONS PRINCIPAL | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF COMPLIANCE OFFICER | 5085595 |
| DUCOTE, JOSEPH MICHAEL | SENIOR MANAGING DIRECTOR | 72548 |
| HELMER, JOHN CALDWELL | FOUNDER, TRUSTEE | 242398 |
| HELMER, JOSEPH FRANCIS | PRESIDENT, CO-TRUSTEE | 1860949 |
| HELMER, KATHLEEN REILLY | DIRECTOR, TRUSTEE | 6613066 |
| METCALF, SUSAN DIANE | MANAGING DIRECTOR | 1547365 |
Regulatory assets under management
| Total Number of Accounts | 1,225 |
| AUM (Assets Under Management) | $ 571,092,070 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/10/2025 | ||
| 03/25/2024 | ||
| 11/29/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
