Sergio Omar Russell-Diaz

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2021 → 06/2021
  Unemployed
  Long Beach, NY
• 06/2020 → 01/2021
  Jtc Group
  New York, NY
• 01/2020 → 05/2020
  Unemployed
  Long Beach, NY
• 02/2018 → 02/2018
  Unemployed
  Bayonne, NJ
• 08/2008 → 11/2016
  Park Avenue Securities Guardian Life Insurance
  New York, NY
• 11/2016 → 01/2018
  Neuberger Berman
  New York, NY
• 03/2018 → 12/2019
  Ameriprise Financial
  Uniondale, NY
• 07/2021 → 07/2022
  Louis Cannataro
  New York, NY
• 06/2021 → 07/2022
  Northwestern Mutual Investment Services Llc
  New York, NY
• 09/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Jericho, NY

Previous Registrations

• 2021-07-26 → 2022-07-08
  Northwestern Mutual Investment Services, Llc
  New York, NY
• 2018-04-04 → 2019-12-11
  Ameriprise Financial Services, Llc
  Saddle Brook, NJ
• 2017-04-04 → 2018-02-06
  Neuberger Berman Bd Llc
  New York, NY

Other Businesses

Name: Rental PropertyNot Investment RelatedAddress: Bayonne, NJPosition: Property OwnerTitle or relationship: Property OwnerStart date: 05/26/2022Approximate number of hours: 1 hourNumber of hours during securities trading: NoneBriefly describe your duties: I collect rent and also pay the mortgage and condo maintenance fees (HOA fees).I*1739283Entity Type: For ProfitName of OBA: S.R. ArtworksAddress:Long Beach, NYInvestment Related:NoPosition, Title, Association:OwnerStart Date:03/11/2024No Hours: MonthlyNo Hours during trading:0Duties:Sale of artwork. Responsibilities include selling artwork to potential buyers, attending galleries and art fairs. I*1972262 Entity For Profit Name of OBA: R D PROPERTY HOLDINGS LLC Address: BAY SHORE, New York, 11706 Investment Related: No Position, Title, Association: Owner Employee Start Date: 05/29/2024 No Hours: 2 No Hours during trading: 0 Duties: PURPOSE IS TO INVEST FUNDS FROM REAL ESTATE PROPERTY. RESPONSIBILITY IS TO MANAGE CONDO FUNDS APPROPRIATELY.

Exams

• S66 Uniform Combined State Law Examination
  2017-04-03
• S63 Uniform Securities Agent State Law Examination
  2004-11-01

Other Names

• Sergio Omar Russell
• Sergio Russell
• Sergio Omar Russell-Diaz
• Sergio Russell
• Sergio Russell-Diaz