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Russell Stuart Gilfix

Wind & Rose, LLC

Willsboro, NY

CRD 4616817

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Employer firm

Wind & Rose, LLC CRD 144354

$13.2M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
Wind & Rose, Llc

Willsboro, NY • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-03-16
  • NY RA
    APPROVED
    Since 2021-03-16

Branch Locations

Willsboro, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sammons Securities Company, Llc. Ann Arbor MI 01/2005 Present
Wind & Rose, Llc Willsboro NY 06/2007 Present
Spc Stamford CT 02/2005 Present
  • 01/2005 → Present
    Sammons Securities Company, Llc.
    Ann Arbor, MI
  • 06/2007 → Present
    Wind & Rose, Llc
    Willsboro, NY
  • 02/2005 → Present
    Spc
    Stamford, CT
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-03-04
  • S66 Uniform Combined State Law Examination
    2003-03-04
Other Names
  • Russ Gilfix
  • Russell Gilfix
  • Russell Stuart Gilfix

View on SEC IAPD

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