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BP

Brent W. Powell

RUSSELL INVESTMENTS FINANCIAL SERVICES
SEATTLE, WA 98101
Some features on this profile are disabled
CRD#: 4416484
BP

Professional summary

Brent Wade Powell is a registered financial professional currently at RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Seattle, Washington.

Brent is registered as a RR (Registered Representative) and started their career in finance in 2002. Brent has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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 Brent Wade Powell'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®
None

Experience

Current

January 1, 2008 - Present

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

Office #1: 401 Union St 18th Floor, Seattle, WA 98101
BD
CRD#: 21771
SEATTLE, WA
Past

October 6, 2002 - January 1, 2008

RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS

BD
CRD#: 37550
TACOMA, WA

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
Washington
(1/1/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/3/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RI
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
RUSSELL FINANCIAL SERVICES, INC. | RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC | RUSSELL INVESTMENTS | RUSSELL FUND DISTRIBUTORS, INC., PART OF RUSSELL INVESTMENTS | RUSSELL FUND DISTRIBUTORS, INC. PART OF RUSSELL INVESTMENT GROUP | RUSSELL FUND DISTRIBUTORS, INC. | RUSSELL FINANCIAL SERVICES, INC., PART OF RUSSELL INVESTMENTS

CRD#: 21771 / SEC#: , 8-39227

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

Main Address
401 Union St 18th Floor, Seattle, WA, 98101
Mailing Address
401 Union St 18th Floor, Seattle, WA, 98101
Phone number
(206) 505-7877
Established
Washington since 06/02/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RUSSELL INVESTMENT MANAGEMENT, LLCCORPORATE PARENT OF APPLICANT
ALVAREZ, CARLOS CIDUS BROKER-DEALER CHIEF COMPLIANCE OFFICER5689384
ERICKSON, ROSS EDWARDDIRECTOR3003283
JUNG, BRAD EDWARDCHAIRMAN AND PRESIDENT2419757
SIEGEL, DAVID ANDREWFINANCIAL AND OPERATIONS PRINCIPAL7440274
SURLOFF, HOWARD BRIANCHIEF LEGAL OFFICER7525747

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

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771Seattle, WA 98101

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