Mahrous R. Kairouz
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.
Mahrous Russell Kairouz, who also goes by Russell Kairouz, was a registered financial advisor .
Mahrous is a previously registered financial advisor and started their career in finance in 2010. Mahrous had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2016 - November 10, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
January 20, 2015 - April 13, 2016
HATTERAS CAPITAL DISTRIBUTORS, LLC
December 7, 2012 - December 15, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
November 10, 2010 - October 18, 2011
CHASE INVESTMENT SERVICES CORP.
November 10, 2010 - October 18, 2011
CHASE INVESTMENT SERVICES CORP.
June 22, 2010 - October 28, 2010
ADVANCED EQUITIES, INC.
June 16, 2010 - October 28, 2010
ADVANCED EQUITIES, 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
Current Firm
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 1 |
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.
