John R. Russell
Professional summary
John Richard Russell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, John had worked at 4 firms, which includes MONY SECURITIES CORPORATION, MML INVESTORS SERVICES LLC, NEW ENGLAND SECURITIES, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 1993 - June 6, 1997
MONY SECURITIES CORPORATION
July 18, 1990 - February 18, 1993
MML INVESTORS SERVICES, LLC
August 21, 1986 - June 27, 1990
NEW ENGLAND SECURITIES
June 16, 1986 - December 22, 1986
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
MONY SECURITIES CORPORATION
CRD#: 4386 / SEC#: , 8-15287
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONY FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| BLITZ, HARVEY EUGENE | DIRECTOR | |
| COOLEY, JILL DIANE | CHIEF OPERATING OFFICER; DIRECTOR | 4251752 |
| DANE, EDWARD HAMBLETON | PRESIDENT; DIRECTOR | 2261769 |
| DZIADZIO, RICHARD | DIRECTOR | 4362519 |
| GODOFSKY, MARK DAVID | FINANCIAL PRINCIPAL | 2882741 |
| JONES, ROBERT SEYMOUR JR | DIRECTOR | 261712 |
| ODONNELL, LESLIE TANNER | AML COMPLIANCE OFFICER | 2189109 |
| OLSON, ANTHONY PAUL | CHIEF COMPLIANCE OFFICER | 801048 |
| WRIGHT, ROBERT OAKLEY JR | CHAIRMAN OF THE BOARD; DIRECTOR | 1620043 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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