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Russell M. Elliott

Some features on this profile are disabled
CRD#: 5503218
RE

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.

Russell Mark Elliott was a registered financial professional .

Russell is a previously registered financial professional and started their career in finance in 2008. Russell had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

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

January 8, 2016 - April 20, 2016

AMUNDI DISTRIBUTORS USA, LLC

BD
CRD#: 152399
DURHAM, NC
Past

July 12, 2012 - November 10, 2015

TEACHERS PERSONAL INVESTORS SERVICES, INC.

BD
CRD#: 36130
CHARLOTTE, NC
Past

January 4, 2010 - June 25, 2012

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

May 7, 2008 - January 4, 2010

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC

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
RR
Series 63
Date: 5/23/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/20/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/6/2008
General Securities Representative Examination

Current Firm

AD
AMUNDI DISTRIBUTORS USA, LLC
AMUNDI DISTRIBUTORS USA, LLC | CREDIT AGRICOLE ASSET MANAGEMENT DISTRIBUTORS, INC | AMUNDI DISTRIBUTORS, INC.

CRD#: 152399 / SEC#: , 8-68450

BD
Terminated by SEC on 12/02/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/01/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AMUNDI USA, INC.SHAREHOLDER
BLANC, PATRICE ETIENNECHAIRMAN1972464
BOQUIREN, MICHELLE MARQUEZCHIEF EXECUTIVE OFFICER6358799
HOLLINGSWORTH, JENNIFER PENAFIELCFO/FINOP5652814
JOHNSON, JOHN DAVIDCHIEF COMPLIANCE OFFICER5186551
JONES, LISADIRECTOR1324612
PALMER, LAURA JEANDIRECTOR1069224

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.

Company Information

AMUNDI DISTRIBUTORS USA, LLC

CRD#: 152399

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