Kenneth E. Russell
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.
Kenneth Edward Russell, who also goes by Kenneth E Russell, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1963. Kenneth had worked at 13 firms and has passed the Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 1995 - October 28, 1997
PERSHING ADVISOR SOLUTIONS LLC
April 13, 1993 - January 3, 1995
PERSHING LLC
November 9, 1987 - April 7, 1993
LATERMAN & COMPANY
February 10, 1986 - March 19, 1987
IFB MANAGING PARTNERSHIP, L.P.
August 6, 1982 - November 1, 1985
PRESCOTT, BALL & TURBEN, INC.
January 18, 1978 - January 4, 1982
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
August 27, 1976 - January 4, 1977
LOEB, RHOADES & CO. INC.
January 23, 1976 - June 24, 1976
COLIN, HOCHSTIN CO.
October 7, 1975 - May 1, 1976
LEHMAN BROTHERS INCORPORATED
July 11, 1972 - March 20, 1975
ABRAHAM & CO., INC.
November 3, 1971 - March 25, 1972
D. H. BLAIR & COMPANY
June 13, 1963 - June 11, 1971
L. F. ROTHSCHILD & CO. INCORPORATED
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
Series 1
Date: 6/11/1963
Registered Representative ExaminationCurrent Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
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.
