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MR

Mark Russo

JONESTRADING
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 4375097
MR

Professional summary

Mark Russo is a registered financial professional currently at JONESTRADING located in Charlotte, North Carolina.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2001. Mark has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Mark Russo's CRS (Customer Relationship Summary).
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

May 1, 2017 - Present

JONESTRADING

Office #1: 6000 Fairview Road Suite 1200, Charlotte, NC 28210
BD
CRD#: 6888
Charlotte, NC
Past

April 5, 2017 - May 1, 2017

ELEVATION, LLC

BD
CRD#: 140341
JERSEY CITY, NJ
Past

July 9, 2015 - March 14, 2016

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

February 11, 2014 - May 18, 2015

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
NEW YORK, NY
Past

May 5, 2003 - February 7, 2014

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

June 14, 2002 - November 1, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SHORT HILLS, NJ
Past

May 25, 2001 - November 1, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

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
Arkansas
(5/1/2017)
RR
Connecticut
(5/1/2017)
RR
New Jersey
(5/1/2017)
RR
New York
(5/1/2017)
RR
North Carolina
(7/29/2019)
RR
South Carolina
(6/30/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/7/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/22/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/24/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

JO
JONESTRADING
JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.

CRD#: 6888 / SEC#: , 8-26089

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

Main Address
555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360
Mailing Address
555 Saint Charles Drive, Thousand Oaks, CA 91360
Phone number
(818) 991-5500
Established
Delaware since 08/15/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JONES & ASSOCIATES, INC.HOLDING COMPANY
BELL, JEREMY DAVIDCCO4498676
CHMIELEWSKI, STEVEN ANDREWDIRECTOR2066307
COHEN, SHLOMODIRECTOR2877188
COOK, BURKE MCCLAINCORPORATE SECRETARY / LEGAL COUNSEL4863190
HILL, ALAN FINBARCEO / DIRECTOR5182098
KIRSCH, WILLIAM TANNERDIRECTOR5428522
LEVEEN, JEFFREY EARLE JRDIRECTOR2919172
MICSKY, JEFFREY ADIRECTOR4820920
ONEIL, TIMOTHY DAWSONEXECUTIVE CHAIRMAN2355507
TESORO, ANTHONY JAMESDIRECTOR
TESORO, PHILLIP JAMESDIRECTOR2009378
WONG, JEFFREY RYANFINANCIAL AND OPERATIONS PRINCIPAL4428807

Disclosures

Regulatory Event9

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.

Company Information

JONESTRADING

CRD#: 6888Charlotte, NC 28210

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