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Russell A. Caffry

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CRD#: 4431374
RC

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 Ames Caffry was a registered financial professional .

Russell is a previously registered financial professional and started their career in finance in 2001. Russell had worked at 4 firms and has passed the Series 65, Series 66 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.
I am a 25% owner of Red Camp, LLC. Red Camp, LLC, owns a family vacation property in New York State. The other owners are my 3 siblings, each also owns a 25% share. The LLC was formed to manage the property primarily for our families' enjoyment and to protect us from liability. Although the terms of the LLC arrangement allow for the property to be rented to others, at this time we are not renting it out and have no plans to do so. The property had been owned by my mother, who transferred ownership through a trust to her 4 children in 2010.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 5, 2018 - December 31, 2022

PEOPLE'S UNITED ADVISORS, INC.

RIA
CRD#: 292454
Burlington, VT
Past

August 21, 2007 - December 10, 2008

CHITTENDEN SECURITIES, LLC.

RIA
CRD#: 45190
BURLINGTON, VT
Past

August 16, 2007 - December 10, 2008

CHITTENDEN SECURITIES, LLC.

BD
CRD#: 45190
BURLINGTON, VT
Past

November 9, 2001 - June 28, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
COLCHESTER, VT
Past

September 21, 2001 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 21, 2001 - June 28, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
COLCHESTER, VT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/22/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/24/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2001
General Securities Representative Examination

Current Firm

PU
PEOPLE'S UNITED ADVISORS, INC.
GERSTEIN FISHER | PEOPLE'S UNITED ADVISORS, INC. | OLSON MOBECK INVESTMENT ADVISORS | GERSTEIN FISHER ASSET MANAGEMENT

CRD#: 292454 / SEC#: 801-112648

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Contact information

Main Address
1100 North Market Street, Wilmington, DE 19801
Mailing Address
Phone number
(646) 971-2505
Established
Firm type
Fiscal year end
# of Employees
53

Documents

Latest Form ADV

Part 2 Brochures

PUA FORM ADV PART 2A (3/28/2024)

Regulatory assets under management

Total Number of Accounts2,076
AUM (Assets Under Management)$ 845,211,011

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

PEOPLE'S UNITED ADVISORS, INC.

CRD#: 292454

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