Dorothy R. Duchesne
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.
Dorothy Rizzieri Duchesne, who also goes by Dorothy R Duchesne, Ritz Duchesne, Dorothy Estella Rizzieri, Ritz Rizzieri, Dorothy Estella Shetensky, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1975. Dorothy had worked at 6 firms and has passed the Series 63, SIE, Series 27, Series 00 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2005 - July 13, 2015
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
June 12, 2001 - December 19, 2003
HARTFORD FUNDS DISTRIBUTORS, LLC
April 17, 1996 - December 19, 2003
HIMCO DISTRIBUTION SERVICES COMPANY
March 1, 1996 - April 10, 1996
MML INVESTORS SERVICES, LLC
February 26, 1985 - March 1, 1996
G. R. PHELPS & CO., INC.
February 3, 1975 - July 23, 1984
LINCOLN FINANCIAL DISTRIBUTORS, 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 00
Date: 1/25/1975
General Securities Principal ExaminationSeries 40
Date: 1/25/1975
Registered Principal ExaminationCurrent Firm
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
CRD#: 21771 / SEC#: , 8-39227
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENT MANAGEMENT, LLC | CORPORATE PARENT OF APPLICANT | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| ERICKSON, ROSS EDWARD | DIRECTOR | 3003283 |
| JUNG, BRAD EDWARD | CHAIRMAN AND PRESIDENT | 2419757 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
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.
