RA
Russell M. Adams
RBC CAPITAL MARKETS
San Francisco, CA 94111
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CRD#: 1328239
RA
Professional summary
Russell Monroe Adams, who also goes by Rusty Adams, is a registered financial professional currently at RBC CAPITAL MARKETS, LLC located in San Francisco, California.
Russell is registered as a RR (Registered Representative) and started their career in finance in 1984. Russell has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rusty Adams
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Russell Monroe Adams's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 8, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #1: Two Embarcadero Center Suite 1200, San Francisco, CA 94111RIA
BD
CRD#: 31194
San Francisco, CA
Past
August 28, 2006 - April 6, 2009
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
SAN FRANCISCO, CA
Past
March 20, 2006 - August 21, 2006
W.R. HAMBRECHT + CO., LLC
BD
CRD#: 45040
SAN FRANCISCO, CA
Past
October 5, 2005 - March 13, 2006
MOORS & CABOT, INC.
BD
CRD#: 594
BOSTON, MA
Past
June 25, 2002 - August 31, 2005
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
April 16, 1993 - July 1, 2002
DEUTSCHE IXE, LLC
BD
CRD#: 7172
NEW YORK, NY
Past
June 10, 1992 - April 2, 1993
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
September 13, 1991 - June 19, 1992
DEUTSCHE IXE, LLC
BD
CRD#: 7172
NEW YORK, NY
Past
June 10, 1986 - August 26, 1991
THE SEIDLER COMPANIES INCORPORATED
BD
CRD#: 3911
LOS ANGELES, CA
Past
December 19, 1984 - June 27, 1986
WEDBUSH SECURITIES INC.
BD
CRD#: 877
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/23/2021)
RR
Alaska(5/6/2020)
RR
Arizona(5/6/2020)
RR
Arkansas(3/23/2021)
RR
California(4/8/2009)
RR
Colorado(4/8/2009)
RR
Connecticut(6/19/2009)
RR
Delaware(5/1/2020)
RR
District of Columbia(2/29/2020)
RR
Florida(6/19/2009)
RR
Georgia(6/19/2009)
RR
Hawaii(3/23/2021)
RR
Idaho(6/19/2009)
RR
Illinois(6/19/2009)
RR
Indiana(6/19/2009)
RR
Iowa(5/6/2020)
RR
Kansas(6/19/2009)
RR
Kentucky(3/23/2021)
RR
Louisiana(3/23/2021)
RR
Maine(6/19/2009)
RR
Maryland(5/6/2020)
RR
Massachusetts(6/19/2009)
RR
Michigan(5/6/2020)
RR
Minnesota(6/19/2009)
RR
Mississippi(3/23/2021)
RR
Missouri(6/19/2009)
RR
Montana(3/23/2021)
RR
Nebraska(5/6/2020)
RR
Nevada(5/6/2020)
RR
New Hampshire(3/23/2021)
RR
New Jersey(5/6/2020)
RR
New Mexico(5/6/2020)
RR
New York(4/8/2009)
RR
North Carolina(5/6/2020)
RR
North Dakota(3/23/2021)
RR
Ohio(6/22/2009)
RR
Oklahoma(3/23/2021)
RR
Oregon(4/8/2009)
RR
Pennsylvania(6/19/2009)
RR
Puerto Rico(2/29/2020)
RR
Rhode Island(3/23/2021)
RR
South Carolina(3/23/2021)
RR
South Dakota(5/6/2020)
RR
Tennessee(6/19/2009)
RR
Texas(6/19/2009)
RR
Utah(6/19/2009)
RR
Vermont(5/6/2020)
RR
Virgin Islands(3/23/2021)
RR
Virginia(6/19/2009)
RR
Washington(4/8/2009)
RR
West Virginia(6/19/2009)
RR
Wisconsin(6/19/2009)
RR
Wyoming(3/23/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/14/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
