Russell T. Boggess

HOULIHAN LOKEY CAPITAL

NEW YORK, NY 10167

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CRD#: 3055014

Professional summary

Russell Thatcher Boggess is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in New York, New York.

Russell is registered as a RR (Registered Representative) and started their career in finance in 1998. Russell has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 22 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Russell Thatcher Boggess's CRS (Customer Relationship Summary).

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

Current

September 26, 2022 - Present

HOULIHAN LOKEY CAPITAL, INC.

Office #1: 245 Park Avenue 20th Floor, New York, NY 10167

CRD#: 17708

NEW YORK, NY

Past

November 20, 2018 - August 1, 2022

FOCUSPOINT PRIVATE CAPITAL GROUP

CRD#: 122341

NEW YORK, NY

Past

February 22, 2016 - November 14, 2018

FRONTIER SOLUTIONS, LLC

CRD#: 136102

RICHMOND, VA

Past

July 2, 2008 - November 2, 2010

PERKINS FUND MARKETING, L.L.C.

CRD#: 45642

SOUTHPORT, CT

Past

March 8, 2005 - June 11, 2008

THINKEQUITY LLC

CRD#: 44274

NEW YORK, NY

Past

November 9, 1999 - November 8, 2004

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

August 5, 1998 - November 9, 1999

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(9/26/2022)

Exams

State Security Law Exam

Series 63

Date: 2/3/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/9/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 2/22/2016

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 7

Date: 8/4/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Mailing Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Phone number

(310) 553-8871

Established

California since 01/09/1996

Firm type

Corporation

Fiscal year end

March

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC	DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPH	PRESIDENT/CEO AND DIRECTOR (HLI)	2147111
ALLEY, JAMES LINDSEY	TREASURER/CHIEF FINANCIAL OFFICER (HLI)	2394515
BEISER, SCOTT LEE	VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)	2026185
BEN-CANAAN, MARC AVI	CCO/AMLCO	4885345
CRAIN, CHRISTOPHER MADISON	SECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEAL	CHIEF FINANCIAL OFFICER, FINOP	4632869
YAMARONE, CHARLES ANTHONY III	CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI	2190400

Disclosures

Regulatory Event

Red Flags

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Russell T. Boggess

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Russell Thatcher Boggess's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOCUSPOINT PRIVATE CAPITAL GROUP

FRONTIER SOLUTIONS, LLC

PERKINS FUND MARKETING, L.L.C.

THINKEQUITY LLC

THOMAS WEISEL PARTNERS LLC

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/3/2017

Series 7TO

Date: 5/9/2023

SIE

Date: 10/1/2018

Series 22

Date: 2/22/2016

Series 7

Date: 8/4/1998

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HOULIHAN LOKEY CAPITAL, INC.

TRUST BUT VERIFY

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