JR
Joena Russell
NATIONS FINANCIAL GROUP
Scottsdale, AZ 85251
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CRD#: 4354192
JR
Professional summary
Joena Russell, who also goes by Joena Caro, Joena Russell, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Scottsdale, Arizona.
Joena is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joena has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joena Caro | Joena Russell
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.
1. Rental Property Ownership; is not investment-related; 10830 N 106th Pl Scottsdale, AZ 85259; Nature of business is Rental Property; Position and Title is Owner; Start date is 08/2022; Approx. 2 hours per month devoted to business; Approx. 0 hours per month devoted to business during securities trading hours; Duties related to other business include select and manage relationship with property manager. 2. Generations Wealth Management; 6991 E Camelback Rd Ste C-152 Scottsdale, AZ 85251; Is Investment Related; Nature of business is Financial Planning, Investment and Advisory services; Position is Private Wealth Advisor; Start date is 4/22/2025; Approx 160 hours per month devoted to business 160 hours per month devoted to business during securities trading hours; Duties related to other business include financial planning, investment and advisory services. ///
CRS (Client Relationship Summary) - RIA
Click below to view Joena Russell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joena Russell'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®
NoneExperience
Current
March 13, 2025 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 6991 Camelback Rd. Suite C-152, Scottsdale, AZ 85251RIA
BD
CRD#: 44181
Scottsdale, AZ
Current
March 10, 2025 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 6991 Camelback Rd. Suite C-152, Scottsdale, AZ 85251RIA
BD
CRD#: 44181
Scottsdale, AZ
Past
August 12, 2024 - February 3, 2025
TWIN PEAKS WEALTH ADVISORS
RIA
CRD#: 323817
Scottsdale, AZ
Past
January 25, 2023 - July 19, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 2, 2019 - December 1, 2022
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
Scottsdale, AZ
Past
July 14, 2010 - January 2, 2019
JEFFERSON NATIONAL SECURITIES CORPORATION
BD
CRD#: 47582
COLUMBUS, OH
Past
June 26, 2006 - June 1, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
WALLINGFORD, CT
Past
June 26, 2006 - June 1, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
WALLINGFORD, CT
Past
August 16, 2005 - May 11, 2006
PEOPLE'S SECURITIES, INC.
RIA
CRD#: 13704
BRIDGEPORT, CT
Past
March 19, 2001 - May 11, 2006
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
BRIDGEPORT, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(3/13/2025)
IAR
Arizona(3/13/2025)
RR
Connecticut(5/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/5/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
