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Russell Ralph Wasendorf Sr

CRD# 1860076·Registered 1999 - 2009
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 Ralph Wasendorf SR, who also goes by Russ Wasendorf Sr, Russell Ralph Wasendorf, was a registered financial advisor. Russell was a previously registered financial professional and started their career in finance 1999 - 2009. Russell had worked at 2 firms and has passed the Series 63 and Series 7 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

Russ Wasendorf Sr, Russell Ralph Wasendorf

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

27 years in the financial services industry

Current & Past Employments

BREWER FINANCIAL SERVICES, LLC·CRD# 132558
BD
Chicago, IL
December 20, 2006 - August 31, 2009
PEREGRINE FINANCIALS & SECURITIES, INC.·CRD# 43992
BD
Chicago, IL
February 2, 1999 - August 30, 2004

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Current Firm

BF
BREWER FINANCIAL SERVICES, LLC

BREWER FINANCIAL SERVICES, LLC

CRD#: 132558 / SEC#: 8-66603
BD
Cancelled by SEC on 06/04/2020

Contact Information

Established

Illinois since 06/08/2004

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BREWER INVESTMENT GROUP, LLCPARENT COMPANY—
ARANA, EDWARD ANTHONYFINOP, CFO2969234
ERICKSON, ADAM GARYPRESIDENT3081286
LISHCHYNSKY, MARK JOHN JRAML COMPLIANCE OFFICER2478952
LISHCHYNSKY, MARK JOHN JRCCO2478952

Disclosures

Regulatory Event

2

Civil Event

1

Arbitration

2

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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 Feb 1999About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1999About the Series 7 exam

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CRS (Client Relationship Summary)

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

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