Russell W. Arman
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 William Arman, CFP®, who also goes by Russ William Arman, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1990. Russell had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 62 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: 2003
Experience
June 21, 2010 - September 5, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 8, 2010 - September 5, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 7, 2008 - May 17, 2010
NATIONAL PLANNING CORPORATION
July 7, 2004 - May 17, 2010
NATIONAL PLANNING CORPORATION
June 20, 2001 - July 12, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 5, 1997 - July 12, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 3, 1992 - June 6, 1997
WOODBURY FINANCIAL SERVICES, INC.
January 18, 1990 - December 11, 1990
USF&G INVESTMENT SERVICES, 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
Series 62
Date: 9/5/2007
Corporate Securities Limited Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
