Russell W. Wolter
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 William Wolter, who also goes by Russ Wolter, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1993. Russell had worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2009 - November 11, 2014
INVEST FINANCIAL CORPORATION
January 14, 2004 - October 6, 2008
GUNNALLEN FINANCIAL, INC
May 6, 2002 - January 8, 2004
STERLING ENTERPRISES GROUP, INC.
June 13, 2001 - April 26, 2002
MEDALLION EQUITIES, INC.
July 26, 1999 - June 22, 2001
THE FIRST AMERICAN INVESTMENT BANKING CORPORATION
March 5, 1999 - July 16, 1999
CELADON FINANCIAL GROUP LLC
February 6, 1998 - January 26, 1999
PEREGRINE FINANCIALS & SECURITIES, INC.
February 13, 1997 - April 6, 1998
GLOBAL INVESTMENT SERVICES, INC.
March 4, 1996 - January 28, 1997
LASALLE ST SECURITIES, L.L.C.
October 26, 1995 - January 15, 1996
AMERICAN INVESTMENT SERVICES, INC.
November 22, 1993 - November 15, 1995
STEIN, SHORE SECURITIES, INC.
September 13, 1993 - December 8, 1993
EMANUEL AND COMPANY
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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
