Russell P. Macke
Professional summary
Russell Philip Macke was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Russell is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Russell had worked at 9 firms, which includes B.B. GRAHAM & COMPANY INC., OAKBRIDGE FINANCIAL SERVICES, MOLONEY SECURITIES CO. INC., WATERSTONE FINANCIAL GROUP INC., RE-DIRECT SECURITIES CORP, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2013 - April 2, 2015
B.B. GRAHAM & COMPANY, INC.
July 18, 2012 - March 1, 2013
B.B. GRAHAM & COMPANY, INC.
March 20, 2006 - January 6, 2012
OAKBRIDGE FINANCIAL SERVICES
November 2, 2005 - January 6, 2012
OAKBRIDGE FINANCIAL SERVICES
December 16, 2003 - September 22, 2005
MOLONEY SECURITIES CO., INC.
July 21, 2003 - December 16, 2003
WATERSTONE FINANCIAL GROUP, INC.
December 8, 1998 - July 21, 2003
RE-DIRECT SECURITIES CORP
July 13, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 13, 1995 - October 5, 1998
SIGNATOR INVESTORS, INC.
January 17, 1989 - May 23, 1995
METROPOLITAN LIFE INSURANCE COMPANY
January 17, 1989 - May 23, 1995
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
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
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
Contact information
SEC notice filing (45 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 2563258 |
| BETTFREUND, JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | 1448436 |
| CALLEN, DOUGLAS BRAD | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 2133945 |
| GODINEZ, MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | 3020086 |
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 196,073,458 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
Red Flags
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