Russell S. Lowe
Professional summary
Russell S Lowe, who also goes by Russell Scott Lowe, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Pompano Beach, Florida.
Russell is registered as a RR (Registered Representative) and started their career in finance in 1996. Russell has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Russell S Lowe's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
May 12, 2020 - July 22, 2022
NATIONAL SECURITIES CORPORATION
February 6, 2019 - May 8, 2020
MOODY CAPITAL SOLUTIONS, INC
October 2, 2018 - November 16, 2018
SUMMIT BROKERAGE SERVICES, INC.
October 2, 2018 - November 16, 2018
CETERA WEALTH SERVICES, LLC
April 4, 2018 - July 31, 2018
ZEUS FINANCIAL, LLC
January 21, 2014 - April 2, 2018
MANAGED ACCOUNT SERVICES, LLC
November 12, 2012 - December 11, 2013
FMSBONDS, INC.
January 2, 2002 - September 20, 2012
OPPENHEIMER & CO. INC.
April 11, 1996 - January 2, 2002
PRIME CHARTER LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/22/2022)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/1/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
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