Gerald W. Russell
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.
Gerald William Russell, who also goes by Gerald W Russell, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1998. Gerald had worked at 9 firms and has passed the Series 63, SIE, 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
January 29, 2013 - January 17, 2018
ELECTRONIC TRANSACTION CLEARING, INC.
April 2, 2012 - September 12, 2012
NATIONAL PLANNING CORPORATION
September 14, 2011 - December 21, 2011
T3 TRADING GROUP, LLC
January 11, 2011 - July 29, 2011
VANGUARD CAPITAL
September 22, 2006 - November 25, 2008
UNX LLC
June 1, 2004 - September 13, 2006
NATIONAL PLANNING CORPORATION
March 3, 2003 - June 9, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
November 7, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
May 2, 2002 - November 14, 2002
WORLDCO, L.L.C.
January 4, 1999 - March 11, 2002
VANGUARD CAPITAL
September 16, 1998 - January 21, 1999
PERSHING ADVISOR SOLUTIONS 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: 5/17/1999
Limited Representative-Equity Trader ExamCurrent Firm
ELECTRONIC TRANSACTION CLEARING, INC.
CRD#: 146122 / SEC#: , 8-67790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APEX FINTECH SOLUTIONS INC. | OWNER | |
| BECKERMAN, JARRED | FINOP, PRINCIPAL FINANCIAL OFFICER | 6683745 |
| BRENNAN, WILLIAM ROBERT | PRESIDENT & CEO | 2447538 |
| COPPOLETTA, JAY CHRISTIAN | BOARD MEMBER | 6049053 |
| RAY, TERRY DAVID | PRINCIPAL OPERATIONS OFFICER | 5295510 |
| ROBBINS, JOHN FRANKLYN | CHIEF COMPLIANCE OFFICER | 1967073 |
| SPRINGER, CHRISTOPHER MICHAEL | CFO, CAO | 1814987 |
Disclosures
| Regulatory Event | 61 |
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.
