Russell L. Bayne
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 Laverne Bayne JR was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1980. Russell had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2003 - December 31, 2016
LPL FINANCIAL LLC
March 23, 1998 - January 29, 2003
THE CORNERSTONE GROUP, LLC
January 30, 1998 - December 31, 2016
LPL FINANCIAL LLC
July 18, 1989 - February 17, 1998
SECURIAN FINANCIAL SERVICES, INC.
November 2, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 2, 1987 - March 6, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 2, 1987 - March 6, 1990
OSAIC FA, INC.
September 4, 1987 - November 9, 1987
PRUCO SECURITIES, LLC.
September 18, 1985 - December 23, 1986
THE GREAT-WEST LIFE ASSURANCE COMPANY
June 14, 1985 - March 6, 1990
OSAIC FA, INC.
March 22, 1985 - July 22, 1985
THE GREAT-WEST LIFE ASSURANCE COMPANY
September 12, 1984 - May 29, 1986
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 13, 1980 - September 17, 1984
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 62
Date: 7/19/1993
Corporate Securities Limited Representative ExaminationSeries 1
Date: 8/5/1980
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
