Karen L. Russillo
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.
Karen Leanne Russillo, who also goes by Karen Leanne Price, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1997. Karen had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2010 - November 24, 2015
WELLS FARGO SECURITIES, LLC
April 6, 2010 - May 24, 2010
MORGAN STANLEY
March 24, 2010 - May 24, 2010
MORGAN STANLEY
March 24, 2005 - March 28, 2008
CREDIT SUISSE SECURITIES (USA) LLC
April 4, 2003 - February 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 2001 - March 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 12, 2000 - February 5, 2001
W.R. HAMBRECHT + CO., LLC
March 1, 2000 - September 14, 2000
RBC CAPITAL MARKETS, LLC
October 28, 1998 - February 11, 2000
THE SEIDLER COMPANIES INCORPORATED
December 16, 1997 - October 23, 1998
ROTH CAPITAL PARTNERS, LLC
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
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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