JP
Jacqueline C. Pedraza
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES
SEATTLE, WA 98101
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CRD#: 4685507
JP
Professional summary
Jacqueline Christine Pedraza, who also goes by Jackie Ott, Jacqueline Christine Ott, is a registered financial professional currently at RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC located in Seattle, Washington.
Jacqueline is registered as a RR (Registered Representative) and started their career in finance in 2003. Jacqueline has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jackie Ott | Jacqueline Christine Ott
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.
CRS (Client Relationship Summary) - BD
Click below to view Jacqueline Christine Pedraza'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®
NoneExperience
Current
June 15, 2016 - Present
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
Office #1: 401 Union St 18th Floor, Seattle, WA, 98101RIA
BD
CRD#: 329
SEATTLE, WA
Past
October 15, 2010 - May 31, 2011
RUSSELL INVESTMENTS
RIA
CRD#: 105734
SEATTLE, WA
Past
October 15, 2010 - June 15, 2016
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
SEATTLE, WA
Past
October 22, 2008 - August 13, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
SEATTLE, WA
Past
November 30, 2006 - October 22, 2008
NRP FINANCIAL, INC.
RIA
CRD#: 103717
SEATTLE, WA
Past
November 30, 2006 - August 13, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
SEATTLE, WA
Past
April 8, 2005 - November 30, 2006
FINANCIAL TELESIS INC
BD
CRD#: 31012
SEATTLE, WA
Past
July 29, 2004 - March 16, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
October 17, 2003 - May 18, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BELLEVUE, WA
Past
October 17, 2003 - May 18, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
FRANK RUSSELL CO., INC. | RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC | RUSSELL INVESTMENTS | RUSSELL INVESTMENT GROUP | RUSSELL IMPLEMENTATION SERVICES, INC. PART OF RUSSELL INVMT GRP | RUSSELL IMPLEMENTATION SERVICES, INC. | RUSSELL IMPLEMENTATION SERVICES INC. PART OF RUSSELL INVESTMENTS | RUSSELL IMPLEMENTATION SERVICES INC. | FRANK RUSSELL SECURITIES, INC. PART OF RUSSELL INVESTMENT GROUP | FRANK RUSSELL SECURITIES, INC.
CRD#: 329 / SEC#: 801-60335, 8-220
RIA
Registered Investment Advisory firm - SEC (6/13/2001 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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(6/15/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
FRANK RUSSELL CO., INC. | RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC | RUSSELL INVESTMENTS | RUSSELL INVESTMENT GROUP | RUSSELL IMPLEMENTATION SERVICES, INC. PART OF RUSSELL INVMT GRP | RUSSELL IMPLEMENTATION SERVICES, INC. | RUSSELL IMPLEMENTATION SERVICES INC. PART OF RUSSELL INVESTMENTS | RUSSELL IMPLEMENTATION SERVICES INC. | FRANK RUSSELL SECURITIES, INC. PART OF RUSSELL INVESTMENT GROUP | FRANK RUSSELL SECURITIES, INC.
CRD#: 329 / SEC#: 801-60335, 8-220
RIA
Registered Investment Advisory firm - SEC (6/13/2001 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
401 Union St 18th Floor 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
589
SEC notice filing (2 States and Territories)
FINRA licenses (9 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENTS US INSTITUTIONAL HOLDCO, INC. | OWNER | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| CURRAN, AMY ELIZABETH | US ADVISER CHIEF COMPLIANCE OFFICER | 4876594 |
| EL-HILLOW, KATHERINE ANNE | DIRECTOR; PRESIDENT; CHIEF INVESTMENT OFFICER | 4889284 |
| LENZO, JASON ABRAM | DIRECTOR | 2972909 |
| OSTROVSKY, AARON ALEXANDER | DIRECTOR | 7851945 |
| PALTROWITZ, MARK DAVID | CHIEF RISK OFFICER | 2787627 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Regulatory assets under management
| Total Number of Accounts | 152 |
| AUM (Assets Under Management) | $ 79,682,796,997 |
Disclosures
| Regulatory Event | 3 |
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.
