RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
FRANK RUSSELL CO., INC., RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC, RUSSELL INVESTMENTS, RUSSELL INVESTMENT GROUP, RUSSELL IMPLEMENTATION SERVICES, INC. PART OF RUSSELL INVMT GRP…
CRD#: 329/SEC#: 801-60335,8-220
B
Brokerage Firm Regulated by FINRA (Denver district office)
IA
Investment Adviser FirmVisit SEC Site
MAIN ADDRESS
401 UNION ST, 18TH FLOOR
SEATTLE, WA 98101 USA
Disclosures
3 Total Disclosures
3Regulatory Event
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Main Office Location 401 UNION ST, 18TH FLOOR
SEATTLE, WA 98101 USA
Mailing Address 401 UNION ST, 18TH FLOOR
SEATTLE, WA 98101 USA
Phone206-505-7877
Established inWashington since 06/02/2016
TypeLimited Liability Company
Fiscal Year End December
Direct Owners and Executive Officers
NamePosition
RUSSELL INVESTMENTS US INSTITUTIONAL HOLDCO, INC. OWNER
ALVAREZ, CARLOS CID (CRD#:5689384) US BROKER-DEALER CHIEF COMPLIANCE OFFICER
CURRAN, AMY ELIZABETH (CRD#: 4876594) US ADVISER CHIEF COMPLIANCE OFFICER
EL-HILLOW, KATHERINE ANNE (CRD#:4889284) DIRECTOR; PRESIDENT; CHIEF INVESTMENT OFFICER
LENZO, JASON ABRAM (CRD#:2972909) DIRECTOR
OSTROVSKY, AARON ALEXANDER (CRD#: 7851945) DIRECTOR
PALTROWITZ, MARK DAVID (CRD#: 2787627) CHIEF RISK OFFICER
SIEGEL, DAVID ANDREW (CRD#:7440274) FINANCIAL AND OPERATIONS PRINCIPAL
SURLOFF, HOWARD BRIAN (CRD#: 7525747) CHIEF LEGAL OFFICER
RUSSELL INVESTMENTS US INSTITUTIONAL HOLDCO, INC.
OWNER

US BROKER-DEALER CHIEF COMPLIANCE OFFICER

CURRAN, AMY ELIZABETH (CRD#: 4876594)
US ADVISER CHIEF COMPLIANCE OFFICER

DIRECTOR; PRESIDENT; CHIEF INVESTMENT OFFICER


OSTROVSKY, AARON ALEXANDER (CRD#: 7851945)
DIRECTOR

PALTROWITZ, MARK DAVID (CRD#: 2787627)
CHIEF RISK OFFICER

FINANCIAL AND OPERATIONS PRINCIPAL

SURLOFF, HOWARD BRIAN (CRD#: 7525747)
CHIEF LEGAL OFFICER

Licenses
9 U.S. States and Territories
B
Arizona

B
Illinois

B
Massachusetts

B
New York

B
Ohio

B
Rhode Island

B
Texas

B
Vermont

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Washington

Other Registrations
Federal
SEC

Self-Regulatory Organizations
FINRA
And 1 other. See Detailed Report.
This firm conducts 10 types of business

This firm is affiliated with financial and investment institutions

This firm does not have referral or financial arrangements with other brokers or dealers
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

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B
Broker

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Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
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.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

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Disclosures

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