Stephen A. Marchi
Professional summary
Stephen Anthony Marchi is a registered financial professional currently at RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Seattle, Washington.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1990. Stephen has worked at 3 firms and has passed the Series 63, SIE, Series 7TO, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Anthony Marchi's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2023 - Present
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
Office #1: 401 Union St 18th Floor, Seattle, WA, 98101August 20, 2007 - September 19, 2018
PRINCIPAL FUNDS DISTRIBUTOR, INC.
September 17, 1990 - February 4, 1992
SECURIAN FINANCIAL 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 7TO
Date: 3/23/2023
General Securities Representative ExaminationFINRA
Current Firm
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
CRD#: 21771 / SEC#: , 8-39227
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENT MANAGEMENT, LLC | CORPORATE PARENT OF APPLICANT | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| ERICKSON, ROSS EDWARD | DIRECTOR | 3003283 |
| JUNG, BRAD EDWARD | CHAIRMAN AND PRESIDENT | 2419757 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Red Flags
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