Russell A. Williams
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Russell Allen Williams, who also goes by Russ Williams, Rusty Williams, was a registered financial advisor .
Russell is a previously registered financial advisor and started their career in finance in 1991. Russell had worked at 12 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2012 - November 29, 2012
EMERSON EQUITY LLC
March 12, 2012 - November 29, 2012
EMERSON EQUITY LLC
August 3, 2011 - September 26, 2011
NMS CAPITAL ASSET MANAGEMENT, INC.
July 18, 2011 - February 9, 2012
ARQUE CAPITAL, LTD.
August 24, 2009 - May 24, 2011
MORGAN STANLEY
August 20, 2009 - May 24, 2011
MORGAN STANLEY
March 5, 2009 - August 10, 2009
QUASAR DISTRIBUTORS, LLC
April 2, 2007 - February 13, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - February 13, 2009
MORGAN STANLEY & CO. LLC
March 19, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
February 16, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
March 9, 1994 - February 18, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 1993 - December 13, 1993
SUNAMERICA SECURITIES, INC.
June 8, 1992 - January 1, 1993
SIMMERS CAPITAL MANAGEMENT CORPORATION
January 10, 1992 - June 9, 1992
WOODBURY FINANCIAL SERVICES, INC.
December 20, 1991 - January 3, 1992
TITAN/VALUE EQUITIES GROUP, INC.
Primary Firm SEC Registration
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
Contact information
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
