David W. 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.
David Wyatt Russell, CFP® was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
February 13, 2018 - April 16, 2018
VOYA FINANCIAL ADVISORS, INC.
February 12, 2018 - April 16, 2018
VOYA FINANCIAL ADVISORS, INC.
April 30, 2014 - February 18, 2016
VOYA FINANCIAL ADVISORS, INC.
March 19, 2014 - February 18, 2016
VOYA FINANCIAL ADVISORS, INC.
January 21, 2014 - April 15, 2014
CETERA INVESTMENT ADVISERS LLC
October 22, 2003 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
August 9, 2002 - April 15, 2014
CETERA INVESTMENT SERVICES LLC
March 1, 1996 - July 20, 2000
MML INVESTORS SERVICES, LLC
January 25, 1994 - March 1, 1996
G. R. PHELPS & CO., INC.
March 10, 1988 - December 19, 1988
FSC SECURITIES CORPORATION
April 6, 1987 - December 9, 1987
NORTHCUTT-OWEN AND COMPANY
August 7, 1986 - April 3, 1987
INVESTACORP, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
