Robert J. Russell

WATERLOO CAPITAL

AUSTIN, TX 78746

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CRD#: 5872104

Professional summary

Robert John Russell JR, who also goes by Robert J Russell, is a registered financial advisor currently at WATERLOO CAPITAL located in Austin, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Robert has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert J Russell

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.

INSRUANCE LICENSED - LIFE AND HEALTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Russell JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 3, 2021 - Present

WATERLOO CAPITAL

Office #1: 2801 Via Fortuna Suite 250, Austin, TX 78746

RIA

CRD#: 133705

AUSTIN, TX

Past

October 16, 2017 - August 3, 2021

OSAIC WEALTH, INC.

RIA

CRD#: 23131

AUSTIN, TX

Past

October 16, 2017 - August 3, 2021

OSAIC WEALTH, INC.

CRD#: 23131

AUSTIN, TX

Past

July 7, 2016 - October 18, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

AUSTIN, TX

Past

January 18, 2012 - October 18, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

AUSTIN, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

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

Texas
(8/3/2021)

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 65

Date: 6/27/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/25/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/29/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

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Contact information

Main Address

2801 Via Fortuna Suite 250, Austin, TX 78746

Mailing Address

Phone number

(512) 777-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATERLOO CAPITAL WRAP FEE PROGRAM BROCHURE (7/29/2025)

WATERLOO CAPITAL PART 2A (7/29/2025)

Regulatory assets under management

Total Number of Accounts	6,775
AUM (Assets Under Management)	$ 1,686,618,820

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

Robert J. Russell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Russell JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

WATERLOO CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 6/27/2016

Series 63

Date: 1/25/2012

SIE

Date: 10/1/2018

Series 6

Date: 11/29/2011

Current Firm

WATERLOO CAPITAL

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERLOO CAPITAL

TRUST BUT VERIFY

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