Sterling E. Russell
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.
Sterling Eugene Russell was a registered financial professional .
Sterling is a previously registered financial professional and started their career in finance in 1985. Sterling had worked at 4 firms and has passed the Series 63, Series 65, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2019 - November 15, 2023
TRAJAN WEALTH, L.L.C.
March 15, 2018 - December 31, 2018
TRAJAN WEALTH, L.L.C.
June 22, 2015 - April 12, 2018
YELLOWSTONE PARTNERS
October 4, 1994 - November 22, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 1987 - October 18, 1991
MORGAN STANLEY DW INC.
May 21, 1985 - January 10, 1986
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TRAJAN WEALTH, L.L.C.
CRD#: 158847 / SEC#: 801-100392
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
TRAJAN WEALTH, L.L.C.
CRD#: 158847 / SEC#: 801-100392
Contact information
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,595 |
| AUM (Assets Under Management) | $ 1,969,683,196 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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