Charles F. Ogata
Professional summary
Charles Frederick Ogata, who also goes by Chuck Ogata, is a registered financial professional currently at RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Seattle, Washington.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2001. Charles has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Frederick Ogata's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2016 - Present
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
Office #1: 401 Union St 18th Floor, Seattle, WA, 98101October 4, 2001 - April 22, 2016
QUASAR DISTRIBUTORS, LLC
February 22, 2001 - October 4, 2001
FIRST FUND DISTRIBUTORS, 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
(6/16/2016)
Exams
FINRA
Current Firm
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
CRD#: 21771 / SEC#: , 8-39227
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENT MANAGEMENT, LLC | CORPORATE PARENT OF APPLICANT | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| ERICKSON, ROSS EDWARD | DIRECTOR | 3003283 |
| JUNG, BRAD EDWARD | CHAIRMAN AND PRESIDENT | 2419757 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Red Flags
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