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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Russell? Claim Your ProfileRussell Cappelen Jr. is an active investment advisor representative with Raymond James & Associates, Inc. based in VERO BEACH, FL. Russell Cappelen Jr. has been in the industry since 1984. Russell Cappelen Jr. has passed the Series 3, 7, 8, 9, 10, 63, and 65 exams. Russell Cappelen Jr. has been registered with the Securities and Exchange Commission since 1999. Russell Cappelen Jr. provides financial planning, educational seminars, portfolio management for individuals and businesses, and selection of other advisors.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Please see note in schedule d - miscellaneous
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
FL
11/13/2024 - Present
Raymond James & Associates, Inc. (VERO BEACH FL)
NY
02/23/1988 - 10/12/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
05/23/1984 - 03/04/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 09/13/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/25/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/1990
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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