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Detailed Report
Stephen Russell
STEPHEN PATRICK RUSSELL
CRD#: 6248976
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Investment Adviser
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Broker
NORTHERN TRUST INVESTMENTS, INCORPORATEDCRD#: 105780 Cicero, NY
NORTHERN TRUST SECURITIES, INC.CRD#: 7927 Cicero, NY
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2020 - 2021 (<1 year)2 FIRMS2023 - Present (1 year)BKESTRA INVESTMENT SERVICES, LLC (CRD# 42046)2021 - 2022 (1 year)BNEXT FINANCIAL GROUP, INC. (CRD# 46214)2021 - 2021 (<1 year)BCADARET, GRANT & CO., INC. (CRD# 10641)2017 - 2021 (3 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2015 - 2017 (2 years)BHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)2013 - 2015 (1 year)IAKESTRA ADVISORY SERVICES, LLC (CRD# 283330)2022 - 2022 (<1 year)IAHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)2014 - 2015 (<1 year)
License(s)

State Registrations

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New York 1/3/2023
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New York 8/21/2023

SRO Registrations

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 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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NORTHERN TRUST SECURITIES, INC. (CRD#:7927)
Cicero, NY
Registered with this firm since 8/21/2023
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NORTHERN TRUST INVESTMENTS, INCORPORATED (CRD#:105780)
Cicero, NY
Registered with this firm since 1/3/2023
Previous Registration(s)
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 01/10/2022 - 11/10/2022 KESTRA ADVISORY SERVICES, LLC (CRD#:283330) AUSTIN, TX
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 06/03/2021 - 11/10/2022 KESTRA INVESTMENT SERVICES, LLC (CRD#:42046) AUSTIN, TX
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 04/28/2021 - 05/28/2021 NEXT FINANCIAL GROUP, INC. (CRD#:46214) HOUSTON, TX
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 11/17/2020 - 05/28/2021 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) SAN DIEGO, CA
B
 11/16/2020 - 05/28/2021 SORRENTO PACIFIC FINANCIAL, LLC (CRD#:127787) SAN DIEGO, CA
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 06/26/2017 - 05/28/2021 CADARET, GRANT & CO., INC. (CRD#:10641) SYRACUSE, NY
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 03/10/2015 - 06/27/2017 MML INVESTORS SERVICES, LLC (CRD#:10409) East Rochester, NY
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 04/25/2014 - 02/12/2015 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) ROCHESTER, NY
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 12/09/2013 - 02/12/2015 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) ROCHESTER, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.