Louis M. Russo
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.
Louis Michael Russo was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1972. Louis had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 1 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
August 8, 2006 - June 26, 2020
TRUIST SECURITIES, INC.
January 3, 2003 - July 18, 2006
BNY CAPITAL MARKETS INC.
May 6, 1998 - October 8, 2002
BANC OF AMERICA SECURITIES LLC
November 17, 1989 - May 8, 1998
UBS SECURITIES LLC
July 1, 1986 - July 17, 1989
GOLDMAN SACHS & CO. LLC
August 2, 1984 - April 15, 1986
WINTHROP SECURITIES CO., INC.
February 12, 1982 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 14, 1982 - September 17, 1984
LEHMAN BROTHERS INC.
February 27, 1980 - November 25, 1981
MORGAN STANLEY & CO. LLC
June 24, 1976 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
February 1, 1972 - May 1, 1975
WESTPAC POLLOCK & CO. 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
Exams
Series 1
Date: 1/27/1972
Registered Representative ExaminationCurrent Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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