Simon F. Russell
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.
Simon Frederick John Russell was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 2006. Simon had worked at 4 firms and has passed the Series 63, SIE and Series 17 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2013 - September 1, 2016
WALLACHBETH CAPITAL LLC
May 23, 2011 - October 11, 2011
CANACCORD GENUITY SECURITIES LLC
January 12, 2010 - March 15, 2011
BGC FINANCIAL, L.P.
April 21, 2006 - December 23, 2009
PALI CAPITAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 17
Date: 4/20/2006
Limited Registered Representative ExaminationCurrent Firm
WALLACHBETH CAPITAL LLC
CRD#: 147853 / SEC#: , 8-67936
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
