Julia E. Cormier
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.
Julia Elizabeth Cormier, who also goes by Julia E Cormier, Julia E Maldonado, Julia Elizabeth Maldonado, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 1993. Julia had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2016 - April 14, 2021
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
January 1, 2008 - June 15, 2016
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
January 1, 2006 - January 1, 2008
RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS
August 23, 2004 - December 21, 2005
VENNWELL, LLC
August 6, 1993 - May 4, 2004
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
CRD#: 329 / SEC#: 801-60335, 8-220
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 7TO
Date: 12/1/2022
General Securities Representative ExaminationSeries 8
Date: 8/25/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
CRD#: 329 / SEC#: 801-60335, 8-220
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (9 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENTS US INSTITUTIONAL HOLDCO, INC. | OWNER | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| CURRAN, AMY ELIZABETH | US ADVISER CHIEF COMPLIANCE OFFICER | 4876594 |
| EL-HILLOW, KATHERINE ANNE | DIRECTOR; PRESIDENT; CHIEF INVESTMENT OFFICER | 4889284 |
| LENZO, JASON ABRAM | DIRECTOR | 2972909 |
| OSTROVSKY, AARON ALEXANDER | DIRECTOR | 7851945 |
| PALTROWITZ, MARK DAVID | CHIEF RISK OFFICER | 2787627 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Regulatory assets under management
| Total Number of Accounts | 152 |
| AUM (Assets Under Management) | $ 79,682,796,997 |
Disclosures
| Regulatory Event | 3 |
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.
