James J. Russo
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.
James Joseph Russo was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 7 firms and has passed the Series 63, Series 3 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
June 7, 2002 - October 18, 2002
CAPITAL SUISSE SECURITIES, INC.
December 8, 1999 - August 11, 2000
R.M. STARK & CO., INC.
November 5, 1999 - January 31, 2000
AJAX INVESTMENTS, LLC
May 18, 1999 - October 21, 1999
AMELIA SECURITIES, INC.
September 12, 1997 - December 31, 1998
ALEXANDER, WESCOTT, & CO., INC.
October 30, 1995 - July 9, 1997
FAIRCHILD FINANCIAL GROUP, INC.
August 26, 1992 - November 1, 1995
L.C. WEGARD & CO., 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
Current Firm
CAPITAL SUISSE SECURITIES, INC.
CRD#: 37531 / SEC#: , 8-48015
Contact information
Documents
Disclosures
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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