Russell W. Sterling
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.
Russell Wilton Sterling was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1962. Russell had worked at 3 firms and has passed the Series 63, Series 3, PC, Series 1, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 1984 - August 11, 1998
ADVEST, INC.
May 13, 1976 - January 3, 1984
CECIL, WALLER & STERLING, INC.
February 12, 1962 - May 13, 1976
LANE STERLING & COMPANY 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
PC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 2/12/1962
Registered Representative ExaminationSeries 12
Date: 1/2/1984
NYSE Branch Manager ExaminationCurrent Firm
ADVEST, INC.
CRD#: 10 / SEC#: , 8-21409
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVEST GROUP, INC. | PARENT COMPANY OF ADVEST, INC. | |
| DIAMOND, JASON HOWARD | C.F.O. | 2320884 |
| DOYLE, SCOTT JOHN | SROP | 2100219 |
| FREITAG, WILLIAM CHRISTIAN | C.C.O. | 1732667 |
| HOROWITZ, DAVID ADAM | DIRECTOR | 1827880 |
| KUCKRO, LEE GERARD | C.L.O. | 1318309 |
| MCINTOSH, LAWRENCE FORBES | C.R.O.P. | 1571279 |
| MULLANE, DANIEL JOSEPH | PRESIDENT AND CEO | 1246435 |
| WELLINGTON, JOHN HOLMES SR | DIRECTOR - C.O.O. | 1314741 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 53 |
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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