Brian C. Golob

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CRD#: 4716007

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.

Brian C. Golob was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2004. Brian had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

July 5, 2011 - April 26, 2017

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

SEATTLE, WA

Past

April 16, 2008 - April 26, 2017

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

CRD#: 329

SEATTLE, WA

Past

September 22, 2004 - April 4, 2008

RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS

CRD#: 37550

TACOMA, WA

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

Series 63

Date: 10/23/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/12/2006

General Securities Principal Examination

Current Firm

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

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
RUSSELL INVESTMENT MANAGEMENT, LLC	CORPORATE PARENT OF APPLICANT
ALVAREZ, CARLOS CID	US BROKER-DEALER CHIEF COMPLIANCE OFFICER	5689384
ERICKSON, ROSS EDWARD	DIRECTOR	3003283
JUNG, BRAD EDWARD	CHAIRMAN AND PRESIDENT	2419757
SIEGEL, DAVID ANDREW	FINANCIAL AND OPERATIONS PRINCIPAL	7440274
SURLOFF, HOWARD BRIAN	CHIEF LEGAL OFFICER	7525747

Red Flags

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