KR
Kelly A. Rushing
ARAX ADVISORY PARTNERS
Houston , TX 77027
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CRD#: 407409
KR
Kelly Albert RushingARAX ADVISORY PARTNERS
Professional summary
Kelly Albert Rushing is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Houston , Texas and USCA SECURITIES LLC located in Houston, Texas.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Kelly has worked at 14 firms and has passed the Series 63, Series 7TO, SIE, Series 15, Series 5, Series 000, Series 1, Series 4 and Series 12 exams.
Aliases
None
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.
1) TEXAS HISTORICAL FOUNDATION, NOT INVESTMENT-RELATED, 221 E. 9TH ST, STE. 205, AUSTIN, TX 78701, DIRECTOR, START DATE 2005, DEVOTE APPROX. 3 HOURS PER MONTH TO ACTIVITY, DEVOTE 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS, VOTE AND REVIEW REQUESTS FOR ASSISTANCE. 2) OPEN DOOR MISSION, NOT INVESTMENT-RELATED, 5803 HARRISBERG RD, HOUSTON, TX 77011, BOARD MEMBER, START DATE 2006, DEVOTE APPROX. 3 HOURS PER MONTH TO ACTIVITY, DEVOTE 2 HOURS PER MONTH TO ACTIVITY DURING SECURITIES TRADING HOURS, OVERSIGHT AND DIRECTOR FOR CHARITY.
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Albert Rushing'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
July 15, 2026 - Present
ARAX ADVISORY PARTNERS
Office #1: 4444 Westheimer Road, G500, Houston , TX 77027RIA
CRD#: 133535
Houston , TX
Current
June 25, 2015 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
HOUSTON, TX
Past
June 30, 2021 - July 21, 2026
U.S. CAPITAL WEALTH ADVISORS, LLC
RIA
CRD#: 288199
AUSTIN, TX
Past
March 6, 2017 - March 13, 2024
USCA ASSET MANAGEMENT LLC
RIA
CRD#: 137045
HOUSTON, TX
Past
June 24, 2015 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
HOUSTON, TX
Past
August 14, 2000 - July 6, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
August 14, 2000 - July 6, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 27, 1999 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
March 13, 1989 - April 1, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 27, 1984 - March 21, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
June 25, 1979 - January 31, 1984
SCHNEIDER, BERNET & HICKMAN, INC.
BD
CRD#: 750
Past
January 18, 1978 - August 3, 1979
LOEB PARTNERS
BD
CRD#: 7534
Past
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
BD
CRD#: 7502
Past
May 29, 1975 - January 4, 1977
LOEB, RHOADES & CO. INC.
BD
CRD#: 525
Past
January 12, 1972 - May 30, 1975
KIDDER, PEABODY & CO., INCORPORATED
BD
CRD#: 488
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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP | WELLTH PARTNER | U.S. CAPITAL WEALTH ADVISORS | U.S. CAPITAL WEALTH | TRANSCEND CAPITAL ADVISORS | THE OAK GROUP | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SRS CAPITAL ADVISORS | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | OMNI FINANCIAL ADVISORY GROUP | NOVEN FINANCIAL GROUP | NORTE ADVISORS | MILLARES ASSET MANAGEMENT | LOGIX INVESTMENTS | KLEINHENZ & ASSOCIATES | GFP PRIVATE WEALTH | GEORGINA ASSET MANAGEMENT | ENDURING WEALTH PARTNERS | CEDRUS | AVERA CAPITAL WEALTH MANAGEMENT | ARAX WEALTH | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)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
Arkansas(7/5/2017)
RR
California(6/25/2015)
RR
Colorado(6/25/2015)
RR
Florida(1/7/2020)
RR
Georgia(6/25/2015)
RR
Hawaii(1/29/2021)
RR
Illinois(6/25/2015)
RR
Kansas(9/22/2023)
RR
Louisiana(1/5/2024)
RR
Mississippi(4/8/2022)
RR
Montana(9/2/2026)
RR
Nevada(6/25/2015)
RR
New Jersey(6/25/2015)
RR
New Mexico(1/11/2024)
RR
New York(6/25/2015)
RR
North Carolina(3/5/2026)
RR
Ohio(11/5/2024)
RR
Oklahoma(6/25/2015)
RR
Oregon(8/2/2019)
RR
Tennessee(9/11/2017)
RR
Texas(6/25/2015)
IAR
Texas(7/15/2026)
RR
Virginia(4/23/2026)
RR
Washington(6/25/2015)
RR
West Virginia(12/18/2025)
RR
Wyoming(6/25/2015)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Passed: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 000
Passed: 1/12/1972
General Securities Principal ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP | WELLTH PARTNER | U.S. CAPITAL WEALTH ADVISORS | U.S. CAPITAL WEALTH | TRANSCEND CAPITAL ADVISORS | THE OAK GROUP | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SRS CAPITAL ADVISORS | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | OMNI FINANCIAL ADVISORY GROUP | NOVEN FINANCIAL GROUP | NORTE ADVISORS | MILLARES ASSET MANAGEMENT | LOGIX INVESTMENTS | KLEINHENZ & ASSOCIATES | GFP PRIVATE WEALTH | GEORGINA ASSET MANAGEMENT | ENDURING WEALTH PARTNERS | CEDRUS | AVERA CAPITAL WEALTH MANAGEMENT | ARAX WEALTH | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
10 East 53rd Street 14th Floor, New York, NY 10022
Mailing Address
Phone number
(646) 777-1823
Established
Firm type
Fiscal year end
# of Employees
361
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 39,138 |
| AUM (Assets Under Management) | $ 26,524,973,206 |
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.
