David L. Tsujimoto
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.
David Lane Tsujimoto was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 2 firms and has passed the Series 3 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2004 - November 12, 2007
RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS
July 2, 2002 - August 30, 2004
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
March 30, 2000 - October 14, 2002
RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS
August 3, 1998 - February 14, 2000
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS
CRD#: 37550 / SEC#: 801-56576, 8-47808
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS
CRD#: 37550 / SEC#: 801-56576, 8-47808
Contact information
SEC notice filing (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FRANK RUSSELL COMPANY | CORPORATE PARENT | |
| BAILIE, JONATHAN R | DIRECTOR | 5447055 |
| BALLINGER, BRENDA MARY | TREASURER AND SENIOR FINANCE OFFICER | 4947124 |
| BURGESS, PAULA | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY MATTERS | 5397793 |
| GOLOB, BRIAN C. | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4716007 |
| LEVERETT, HERSCHEL VICTOR IV | DIRECTOR | 2623408 |
| STRONG, HAROLD FREDERICK | DIRECTOR | 1007320 |
| WALKEY, DEEDRA S | SECRETARY AND CHIEF LEGAL OFFICER | 5108807 |
| WHITTLE, DOUGLAS ROGER | CHIEF COMPLIANCE OFFICER - BROKER DEALER MATTERS | 2190231 |
Regulatory assets under management
| Total Number of Accounts | 98 |
| AUM (Assets Under Management) | $ 27,218,321,292 |
Red Flags
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