Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Russell? Claim Your ProfileRussell Caldwell Smith is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Russell has been in the financial industry for over 24 years and has a broad range of experience. Russell is registered with the state of Texas as a both Broker-Dealer and Investment Advisor. Russell is a Series 7, 3, 63, 65 and SIE licensed financial advisor. Russell has experience with a wide range of clients including high net worth individuals, corporations, pension and profit sharing plans, charitable organizations and insurance companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
11/08/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BEAUMONT TX)
IL
01/30/2021 - 10/26/2021
MARCH CAPITAL CORP. (CHICAGO IL)
MA
04/21/2015 - 01/25/2019
EATON VANCE DISTRIBUTORS, INC. (BOSTON MA)
IL
07/31/2012 - 04/08/2015
MARCH CAPITAL CORP. (CHICAGO IL)
IL
03/31/2004 - 07/14/2009
MAN INVESTMENTS INC. (CHICAGO IL)
NY
06/19/1997 - 11/05/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
09/10/1992 - 10/29/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 06/13/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/10/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2004
Series 3 - National Commodity Futures Examination
BC
Issued 09/08/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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