Alaina B. Hall

Some features on this profile are disabled

CRD#: 6804422

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.

Alaina Brooke Hall was a registered financial professional .

Alaina is a previously registered financial professional and started their career in finance in 2023. Alaina had worked at 1 firm and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

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

May 19, 2023 - July 19, 2024

FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO.

RIA

CRD#: 108886

TULSA, OK

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".

FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO.

FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO. | XXEC INC

CRD#: 108886 / SEC#: 801-114089

RIA

Registered Investment Advisory firm - (10/5/2018 Approved)

Colorado

Registered Investment Advisory firm - (11/30/2020 Terminated)

Oklahoma

Registered Investment Advisory firm - (2/22/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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: 5/19/2023

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 3/3/2023

Securities Industry Essentials Examination

Current Firm

FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO.

FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO. | XXEC INC

CRD#: 108886 / SEC#: 801-114089

RIA

Registered Investment Advisory firm - (10/5/2018 Approved)

Colorado

Registered Investment Advisory firm - (11/30/2020 Terminated)

Oklahoma

Registered Investment Advisory firm - (2/22/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2200 South Utica Place Suite 430, Tulsa, OK 74114

Mailing Address

Phone number

(918) 743-5959

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2024 FERIMC BROCHURE PART II (2/27/2025)

Regulatory assets under management

Total Number of Accounts	85
AUM (Assets Under Management)	$ 150,427,485

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alaina B. Hall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO.

Primary Firm SEC Registration

FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2023

SIE

Date: 3/3/2023

Current Firm

FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO.

TRUST BUT VERIFY

Similar Advisors