Robert E. Russell
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.
Robert Elwood Russell was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2004 - March 1, 2016
KESTRA INVESTMENT SERVICES, LLC
November 16, 2004 - March 1, 2016
KESTRA INVESTMENT SERVICES, LLC
April 14, 1992 - May 2, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 10, 1992 - May 2, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 22, 1991 - January 29, 1991
MYSTIC GLOBAL CAPITAL, INC.
January 2, 1990 - April 26, 1990
DONALD & CO. SECURITIES INC.
October 8, 1987 - June 14, 1988
BARRON CHASE SECURITIES, INC.
August 29, 1984 - November 18, 1985
NIES/BRAUER SECURITIES, INC.
August 19, 1983 - October 25, 1983
BANKERS INTERNATIONAL SECURITIES, INC.
April 20, 1983 - August 19, 1983
UBS FINANCIAL SERVICES INC.
March 31, 1983 - February 23, 1984
UBS FINANCIAL SERVICES INC.
April 13, 1981 - April 5, 1983
E. F. HUTTON & COMPANY INC
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 5
Date: 2/22/1983
Interest Rate Options ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
