Russell E. Morin
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 Elliott Morin, who also goes by Russell Elliot Morin, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1986. Russell had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 27, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2006 - March 11, 2015
CURIAN CLEARING, LLC
December 8, 2005 - April 24, 2006
ARC SECURITIES, LLC
June 1, 1992 - July 14, 1994
FIRST SECURITY INVESTOR SERVICES, INC.
November 18, 1987 - November 7, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 1986 - October 20, 1987
SECURITIES USA, 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
Current Firm
CURIAN CLEARING, LLC
CRD#: 132938 / SEC#: , 8-66660
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JACKSON NATIONAL LIFE INSURANCE COMPANY | OWNER | |
| COLLINS, MAURA KATHRYN | SVP, CFO | 4761732 |
| HAJDU, ROBERT WILLIAM | SENIOR VICE PRESIDENT | 4769897 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LOWRY, KRISTINE MARIE | FINOP, VP, CONTROLLER | 4168279 |
| MANDICH, MARK BERNARD | DIRECTOR | 4352167 |
| MILLER, JAMES PETER | PRESIDENT AND CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER | 1955960 |
| MYERS, PAUL CHADWICK | DIRECTOR | 1863982 |
| WETHERELL, WESTON BARTLEY | SVP, GENERAL COUNSEL | 1172113 |
| WRIGHT, DANIEL EUGENE | SVP, CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 1 |
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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