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Thomas G. Russell

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CRD#: 2669033
TR

Professional summary

Thomas Griswold Russell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Thomas had worked at 1 firm, which includes LAKESIDE TRADING.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 17, 1996 - June 9, 1999

LAKESIDE TRADING

BD
CRD#: 39418
METAIRIE, LA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/24/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/13/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/10/1996
Financial and Operations Principal Examination

Current Firm

LT
LAKESIDE TRADING
LAKESIDE TRADING | RUSSELL TRADING | RUSSELL INVESTMENT CORPORATION

CRD#: 39418 / SEC#: , 8-48699

BD
Cancelled by SEC on 06/13/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Louisiana since 09/11/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

LAKESIDE TRADING

CRD#: 39418

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