Individual Firm
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RUSSELL W SPITZ JR
RUSSELL WARREN SPITZ JR, RUSSELL WARREN SPITZ JR JR, RUSSELL W SPITZ JR. JR
CRD#: 1301417
IA
B
MORGAN STANLEYCRD#: 149777 3635 BOARDMAN CANFIELD ROAD
CANFIELD, OH 44406
CANFIELD, OH 44406
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1/27/2005
Customer Dispute
Denied
8/20/2004
Customer Dispute
Denied
6/28/1993
Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
B
New Jersey 1/26/2011
B
California 6/1/2009
B
New York 1/26/2011
B
Colorado 5/30/2019
B
North Carolina 6/1/2009
B
Connecticut 7/6/2023
B
Ohio 6/1/2009
B
Delaware 8/6/2009
IA
Ohio 6/1/2009
B
District of Columbia 6/19/2009
B
Oregon 8/15/2023
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 6/1/2009
B
Rhode Island 8/22/2023
B
Illinois 6/1/2009
B
South Carolina 12/20/2022
B
Indiana 6/1/2009
B
Tennessee 3/3/2020
B
Kentucky 10/7/2014
B
Texas 6/1/2009
B
Maryland 1/9/2017
IA
Texas 2/12/2014
B
Michigan 6/1/2009
B
Virginia 6/1/2009
B
Missouri 11/3/2022
B
Washington 1/25/2011
B
Nebraska 11/2/2020
B
West Virginia 4/20/2018
B
Nevada 2/13/2017
B
Wisconsin 6/19/2009
B
New Hampshire 4/12/2016
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/26/1999 - 06/01/2009 | YOUNGSTOWN, OH | |
B | 09/27/1994 - 06/01/2009 | YOUNGSTOWN, OH | |
B | 12/19/1989 - 09/28/1994 | WEEHAWKEN, NJ | |
B | 06/03/1987 - 01/11/1990 | NEW YORK, NY | |
B | 05/18/1987 - 06/10/1987 | ||
B | 08/08/1985 - 06/02/1987 | ||
B | 09/24/1984 - 08/12/1985 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.