Justin T. Russell

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CRD#: 4720377

Professional summary

Justin Thomas Russell, CIMA® was a registered financial advisor .

Justin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Justin had worked at 5 firms and has passed the Series 66, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Past

January 19, 2007 - April 26, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

BIRMINGHAM, AL

Past

January 9, 2007 - December 31, 2025

WAVERLY ADVISORS, LLC

RIA

CRD#: 115332

Birmingham, AL

Past

July 27, 2005 - November 29, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BIRMINGHAM, AL

Past

July 27, 2005 - November 29, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

BIRMINGHAM, AL

Past

February 19, 2004 - March 14, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BIRMINGHAM, AL

Past

February 9, 2004 - March 14, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 9, 2004 - March 14, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Alabama
(1/9/2007)

IAR

Louisiana
(8/30/2016)

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: 2/17/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 8/12/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/6/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/2007

General Securities Principal Examination

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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.

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Firm Stability Insights

Justin T. Russell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

Certified licenses

Experience

WAVERLY ADVISORS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/17/2004

Series 31

Date: 8/12/2005

Series 7

Date: 2/6/2004

Series 24

Date: 2/26/2007

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

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