Russell L. Durham
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 Len Durham, who also goes by Rusty Durham, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1972. Russell had worked at 8 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 1993 - June 14, 1999
SIGNAL SECURITIES, INC.
November 16, 1989 - December 18, 1992
TEXAS SECURITIES, INC.
September 2, 1987 - November 16, 1989
VAUTRAIN NELSON LEFEVRE, ENDSLEY AND DURHAM, INC.
August 22, 1986 - September 30, 1987
FINANCIAL FIRST SECURITIES, INC.
March 27, 1986 - August 11, 1986
TEXAS SECURITIES, INC.
April 20, 1983 - April 23, 1986
M. W. JENKINS & CO.
September 14, 1982 - April 25, 1983
TEXAS SECURITIES, INC.
December 12, 1974 - September 21, 1982
GREAT METROPLEX FINANCIAL CORPORATION
April 12, 1973 - January 16, 1975
E. F. HUTTON & COMPANY INC
August 23, 1972 - May 15, 1973
BACHE & CO INCORPORATED
Primary Firm SEC Registration
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
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 1
Date: 8/21/1972
Registered Representative ExaminationF04
Date: 10/29/1974
Financial Principal ExaminationSeries 00
Date: 10/29/1974
General Securities Principal ExaminationCurrent Firm
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,832 |
| AUM (Assets Under Management) | $ 599,186,467 |
Disclosures
| Regulatory Event | 3 |
| 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.
