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RC

Richard J. Cartledge

RUSSELL INVESTMENTS
Scottsdale, AZ
Some features on this profile are disabled
CRD#: 2763878
RC

Professional summary

Richard James Cartledge, CIMA®, who also goes by Richard J Cartledge, is a registered financial advisor currently at RUSSELL INVESTMENTS located in Scottsdale, Arizona and RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Seattle, Washington.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard J Cartledge

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard James Cartledge's CRS (Customer Relationship Summary).
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®
CIMA®

Certified Investment Management Analyst

Experience

Current

April 13, 2020 - Present

RUSSELL INVESTMENTS

RIA
CRD#: 105734
Scottsdale, AZ
Current

April 13, 2020 - Present

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

Office #1: 401 Union St 18th Floor, Seattle, WA, 98101
BD
CRD#: 21771
SEATTLE, WA
Past

February 14, 2019 - February 25, 2020

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
SCOTTSDALE, AZ
Past

April 11, 2005 - February 25, 2020

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

January 1, 2005 - February 14, 2019

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
MENOMONEE FALLS, WI
Past

November 29, 2001 - January 1, 2005

STRONG CAPITAL MANAGEMENT INC

RIA
CRD#: 106638
MENOMONEE FALLS, WI
Past

November 19, 1999 - April 11, 2005

STRONG INVESTMENTS, INC.

BD
CRD#: 15658
MENOMONEE FALLS, WI

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".
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP

CRD#: 105734 / SEC#: 801-17141

RIA
Registered Investment Advisory firm - (5/21/1982 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Arizona
(1/23/2023)
IAR
Arizona
(3/7/2023)
RR
Nevada
(4/13/2020)
IAR
Nevada
(4/26/2024)
RR
New Mexico
(4/13/2020)
IAR
New Mexico
(4/13/2020)
RR
Texas
(4/13/2020)
IAR
Texas
(4/13/2020)
RR
Washington
(4/13/2020)
IAR
Washington
(4/13/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/20/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/2/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP

CRD#: 105734 / SEC#: 801-17141

RIA
Registered Investment Advisory firm - (5/21/1982 Approved)
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Contact information

Main Address
1301 Second Avenue 18th Floor, Seattle, WA 98101
Mailing Address
Phone number
(206) 505-7877
Established
Firm type
Fiscal year end
# of Employees
589

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RUSSELL INVESTMENT MANAGEMENT, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts69,312
AUM (Assets Under Management)$ 62,376,876,918

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.

Company Information

RUSSELL INVESTMENTS

CRD#: 105734Scottsdale, AZ

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