Russell L. Neuendorff
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 Lloyd Neuendorff, who also goes by Russell Floyd Neuendorff, Rusty Neuendorff, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1993. Russell had worked at 7 firms and has passed the Series 63, SIE 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
September 21, 2006 - July 26, 2017
CANTELLA & CO., INC.
April 4, 1997 - September 26, 2006
APS FINANCIAL CORPORATION
January 16, 1997 - April 15, 1997
MEYERS POLLOCK ROBBINS, INC.
October 2, 1996 - December 31, 1996
MEYERS POLLOCK ROBBINS, INC.
August 9, 1995 - August 5, 1996
LEHWALD, OROSEY & PEPE INCORPORATED
August 18, 1994 - June 22, 1995
MERIDIAN SECURITIES, INC.
August 26, 1993 - August 18, 1994
MARCUS, STOWELL & BEYE, INC.
August 26, 1993 - August 20, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, 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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
