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JAMES BAKER RUSSELL
JAMES BAKER RUSSELL III
CRD#: 2834992
IA
B
MERIT FINANCIAL ADVISORSCRD#: 142457 2400 LAKEVIEW PARKWAY
SUITE 550
ALPHARETTA, GA 30009
SUITE 550
ALPHARETTA, GA 30009
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 1025 Old Roswell Road
Suite 104
Roswell, GA 30076
Suite 104
Roswell, GA 30076
0
Disclosures
28
Years of Experience
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State Registrations
B
Alabama 8/23/2024
B
New York 8/16/2024
B
Florida 8/16/2024
B
Oregon 8/16/2024
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Georgia 8/22/2007
B
South Carolina 8/16/2024
B
Georgia 8/16/2024
B
Tennessee 8/16/2024
B
New Jersey 8/16/2024
B
Washington 8/16/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 8/22/2007
B
Registered with this firm since 8/16/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/06/2010 - 08/16/2024 | ROSWELL, GA | |
B | 06/02/2000 - 12/09/2010 | ALPHARETTA, GA | |
IA | 01/17/2003 - 09/11/2007 | ALPHARETTA, GA | |
B | 09/05/1997 - 08/08/2000 | ATLANTA, GA | |
B | 05/08/1998 - 06/20/2000 | BOSTON, MA | |
B | 02/05/1997 - 08/14/1997 | DULUTH, GA |
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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.
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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.