Russell L. Ware
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 Lucas Ware was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1982. Russell had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2016 - April 29, 2017
CV BROKERAGE, INC
December 21, 2007 - September 22, 2015
BLAYLOCK VAN, LLC
October 12, 2006 - December 21, 2007
ROBERT VAN SECURITIES, INC.
March 19, 2004 - September 23, 2005
SPI STRATEGIES, LLC
November 17, 1999 - December 21, 2007
ROBERT VAN SECURITIES, INC.
April 8, 1991 - June 8, 1999
J.P. MORGAN SECURITIES LLC
March 7, 1985 - March 8, 1990
J.P. MORGAN SECURITIES LLC
April 29, 1982 - August 3, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
CV BROKERAGE, INC
CRD#: 462 / SEC#: , 8-12429
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
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.
