Louis R. Russac
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.
Louis Robert Russac, who also goes by Louis Robet Russac, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1992. Louis had worked at 5 firms and has passed the Series 63, Series 55 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
February 6, 2002 - January 2, 2003
ICAP/INVESTMENT SERVICES AND TRADING, LLC
July 27, 2001 - January 10, 2002
RUMSON CAPITAL, LLC
July 14, 1995 - September 22, 1995
IDS LIFE INSURANCE COMPANY
July 14, 1995 - September 22, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
June 8, 1992 - October 13, 1992
SCHONFELD SECURITIES, LLC
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 55
Date: 6/20/2001
Limited Representative-Equity Trader ExamCurrent Firm
ICAP/INVESTMENT SERVICES AND TRADING, LLC
CRD#: 31271 / SEC#: , 8-45473
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNDICATE TRADING LLC | OWNER | |
| COLUCCI, ROBERT RONALD JR | GSP BRANCH SUPERVISOR | 2548010 |
| DEVITO, JOHN PAUL | GENERAL SECURITIES PRINCIPAL | 1317129 |
| PAULEN, CRAIG DANIEL MR. | GENERAL SECURITIES PRINCIPAL | 4271406 |
| PIAZZA, NICHOLAS JAMES | VP OPERATIONS | 1194491 |
| SIEGEL, SHARON LISA | FINOP, CONTROLLER | 3178779 |
| TARTAGLIA, VICTOR GLENN | PRESIDENT | 3021970 |
| TOGNETTI, LINO STEVEN MR. | TREASURER | 4138703 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
