Russell Winchester
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 Winchester, who also goes by Russell Matthew Winchester, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1984. Russell had worked at 16 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2023 - November 29, 2024
ASCENSUS BROKER DEALER SERVICES, LLC
August 5, 2020 - March 20, 2023
NEWPORT GROUP SECURITIES, INC.
July 16, 2019 - August 1, 2019
TRANSAMERICA INVESTORS SECURITIES, LLC
August 30, 2018 - August 5, 2019
TRANSAMERICA CAPITAL, LLC
May 16, 2012 - April 10, 2018
LPL FINANCIAL LLC
November 23, 2011 - April 10, 2018
LPL FINANCIAL LLC
March 30, 2011 - September 22, 2011
RCH SECURITIES
December 9, 2004 - March 27, 2009
ONEAMERICA SECURITIES, INC.
November 19, 2002 - August 12, 2004
MML INVESTORS SERVICES, LLC
April 28, 2000 - August 13, 2002
PARK AVENUE SECURITIES LLC
July 14, 1998 - October 1, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 1, 1996 - October 1, 1998
OSAIC FA, INC.
October 25, 1991 - October 1, 1996
UNUM SALES CORPORATION
October 5, 1990 - June 13, 1991
W.H. NEWBOLD'S SON & CO., INC.
December 16, 1988 - October 22, 1990
LEGG MASON WOOD WALKER, INCORPORATED
February 20, 1987 - December 17, 1988
MOORS & CABOT, INC.
September 25, 1984 - January 20, 1987
FIRST JERSEY SECURITIES, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ASCENSUS BROKER DEALER SERVICES, LLC
CRD#: 36478 / SEC#: , 8-47312
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASCENSUS, LLC | 100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC | |
| DUNN, MICHAEL SEAN | SENIOR VICE PRESIDENT | 3045371 |
| FOLMER, MICHAEL ROBERT | TREASURER AND VICE PRESIDENT, TAX AND FINANCE | 5655451 |
| GEARIN, JAMES M | PRESIDENT | 1405150 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| KAPLAN, ROBERT BARRY | SECRETARY | 1286735 |
| KAPLAN, ROBERT BARRY | CHIEF COMPLIANCE OFFICER | 1286735 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
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.
