RJ
RJ
Russell Cappelen
41 Years of Experience
Vero Beach, FL
5 DisclosuresBroker
Russell Cappelen is a registered investment advisor at Raymond James & Associates, INC., based in Vero Beach, FL, with 41 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
582 Beachland Blvd., Suite 200, Vero Beach, FL, 32963
Get directionsHistory
Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2018Settled
Customer Dispute
February 2000Settled
Customer Dispute
September 1999Settled
Customer Dispute
September 1993Settled
Customer Dispute
September 1992Settled
Other Business Activities
Russell is a partner in GTM 3 LLC, formed to own a liquor license, since December 2024. He spends minimal time on this business.
Employment History
Current Registrations
Raymond James & Associates, INC.
November 2024 - Present · 1 yr 6 mos
Raymond James & Associates, INC.Broker
November 2024 - Present · 1 yr 6 mos
Previous Registrations
UBS Financial Services INC.
October 1999 - November 2024 · 25 yrs 1 mo
UBS Financial Services INC.Broker
October 1999 - November 2024 · 25 yrs 1 mo
Prudential Securities IncorporatedBroker
February 1988 - October 1999 · 11 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1984 - March 1988 · 3 yrs 10 mos
State Registrations20 states
CACOCTDCFLGAILINMAMDMINCNJNYOHORTXUTVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.