AdFi
RJ

Robert John Russell

Investment Adviser Representative at WATERLOO CAPITAL

AUSTIN, TXCRD #5872104Investment Adviser Rep
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
14 yrs
States Registered
1 states
Exams Passed
4

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 1 states
Texas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/27/2016
Series 63
Uniform Securities Agent State Law Examination
Passed 1/25/2012
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 11/29/2011

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

WATERLOO CAPITAL Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ROYAL ALLIANCE ASSOCIATES, INC.
10/16/2017 – 8/3/2021AUSTIN, TX
NATIONAL PLANNING CORPORATION
1/18/2012 – 10/18/2017AUSTIN, TX

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Robert John Russell has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.