Russell S. Gilfix

WIND & ROSE

Willsboro, NY

Some features on this profile are disabled

CRD#: 4616817

Professional summary

Russell Stuart Gilfix, who also goes by Russ Gilfix, Russell Gilfix, is a registered financial advisor currently at WIND & ROSE, LLC located in Willsboro, New York.

Russell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Russell has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Russ Gilfix | Russell Gilfix

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) - RIA

Click below to view Russell Stuart Gilfix'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

March 16, 2021 - Present

WIND & ROSE, LLC

RIA

CRD#: 144354

Willsboro, NY

Past

July 9, 2007 - October 12, 2020

WIND & ROSE, LLC

RIA

CRD#: 144354

WILLSBORO, NY

Past

March 10, 2005 - July 3, 2007

SPC

RIA

CRD#: 110692

STANFORD, CT

Past

January 6, 2005 - July 3, 2007

PARKLAND SECURITIES, LLC

CRD#: 115368

STAMFORD, CT

Past

March 5, 2003 - February 8, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

GREENWICH, CT

Past

February 3, 2003 - February 8, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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.

Highlighted states indicate IAR registrations

IAR

New York
(3/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/4/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/30/2003

General Securities Representative Examination

Current Firm

WIND & ROSE, LLC

CRD#: 144354 / SEC#:

Connecticut

Registered Investment Advisory firm - (10/21/2020 Terminated)

New York

Registered Investment Advisory firm - (9/5/2007 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Willsboro, NY

Mailing Address

Phone number

(203) 921-6872

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 11,554,047

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Russell S. Gilfix

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Stuart Gilfix's CRS (Customer Relationship Summary).

Certified licenses

Experience

WIND & ROSE, LLC

WIND & ROSE, LLC

SPC

PARKLAND SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2003

Series 7

Date: 1/30/2003

Current Firm

WIND & ROSE, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WIND & ROSE, LLC

TRUST BUT VERIFY

Similar Advisors