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Russell Elliott Morin

CRD# 1530746·Registered 1986 - 2015
Previously Registered: Being a previously registered professional could mean that Russell 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.

Professional Summary

Russell Elliott Morin, who also goes by Russell Elliot Morin, was a registered financial advisor. Russell was a previously registered financial professional and started their career in finance 1986 - 2015. 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.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Russell Elliot Morin

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

CURIAN CLEARING, LLC·CRD# 132938
BD
Denver, CO
April 19, 2006 - March 11, 2015
ARC SECURITIES, LLC·CRD# 38045
BD
Washington, DC
December 8, 2005 - April 24, 2006
FIRST SECURITY INVESTOR SERVICES, INC.·CRD# 15515
BD
June 1, 1992 - July 14, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
November 18, 1987 - November 7, 1988
SECURITIES USA, INC.·CRD# 14799
BD
October 8, 1986 - October 20, 1987

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Current Firm

CC
CURIAN CLEARING, LLC

BH CLEARING, LLC. | CURIAN CLEARING, LLC

CRD#: 132938 / SEC#: 8-66660
BD
Terminated by SEC on 09/11/2017

Contact Information

Established

Michigan since 07/29/2004

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
JACKSON NATIONAL LIFE INSURANCE COMPANYOWNER—
COLLINS, MAURA KATHRYNSVP, CFO4761732
HAJDU, ROBERT WILLIAMSENIOR VICE PRESIDENT4769897
HARRIS, BRADLEY OLANDIRECTOR6589930
LOWRY, KRISTINE MARIEFINOP, VP, CONTROLLER4168279
MANDICH, MARK BERNARDDIRECTOR4352167
MILLER, JAMES PETERPRESIDENT AND CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER1955960
MYERS, PAUL CHADWICKDIRECTOR1863982
WETHERELL, WESTON BARTLEYSVP, GENERAL COUNSEL1172113
WRIGHT, DANIEL EUGENESVP, CHIEF COMPLIANCE OFFICER2204732

Disclosures

Regulatory Event

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1992About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Mar 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 2006About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Jan 2006About the Series 27 exam

Series 4 — Registered Options Principal Examination

Passed Jul 1992About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Jun 1992About the Series 53 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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