Russell B. Pinkham
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 Brian Pinkham, who also goes by Russ Pinkham, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1992. Russell had worked at 8 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2010 - March 19, 2012
WTS PROPRIETARY TRADING GROUP LLC
March 27, 2008 - December 4, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
August 12, 2005 - December 12, 2005
THOMAS GROUP CAPITAL
July 1, 2003 - September 11, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 13, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 30, 1998 - July 30, 1999
J.C. BRADFORD & CO.
October 23, 1995 - January 28, 1998
WACHOVIA SECURITIES, INC.
July 30, 1992 - September 22, 1995
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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