G H. Russel
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.
G H Sandy Russel, who also goes by George Howard Russel Jr, Sandy Russel, was a registered financial advisor .
G is a previously registered financial advisor and started their career in finance in 1980. G had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15 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
February 28, 2003 - September 21, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 6, 2003 - February 13, 2003
QUESTAR CAPITAL CORPORATION
January 2, 2003 - February 13, 2003
QUESTAR CAPITAL CORPORATION
January 2, 2002 - September 13, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 18, 1991 - December 31, 2002
ROBERT W. BAIRD & CO. INCORPORATED
July 17, 1991 - December 31, 2002
ROBERT W. BAIRD & CO. INCORPORATED
October 24, 1984 - January 2, 1991
J.P. MORGAN SECURITIES LLC
July 21, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 1, 1983 - October 30, 1984
LEHMAN BROTHERS INC.
December 13, 1982 - July 7, 1983
BECKER PARIBAS INCORPORATED
December 22, 1980 - December 21, 1982
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
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 15
Date: 5/17/1984
Foreign Currency Options ExaminationCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 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.
