RM
Russell M. Martin
CITY NATIONAL ROCHDALE
Houston, TX 77027
Some features on this profile are disabled
CRD#: 5275531
RM
Professional summary
Russell Michael Martin, CFP®, CPWA® is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Houston, Texas and CNR SECURITIES, LLC located in Houston, Texas.
Russell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Russell has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Name:220 Borel Lane
Investment-related:Yes
Address:220 borel lane , Danville, ca 94526
Nature:Rental Property
Position, title, or relationship:Sole Proprietor
Start date:10/15/15
# of hours/month:2
# of hours during securities trading hours:0
Duties:Responsible for all operations of the property
CRS (Client Relationship Summary) - RIA
Click below to view Russell Michael Martin'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®
Experience
Current
May 19, 2014 - Present
CITY NATIONAL ROCHDALE
Office #1: 1800 West Loop South Suite 1980, Houston, TX 77027RIA
CRD#: 117198
Houston, TX
Current
May 19, 2014 - Present
CNR SECURITIES, LLC
Office #1: 1800 West Loop South Suite 1450, Houston, TX 77027BD
CRD#: 18466
Houston, TX
Past
December 4, 2012 - May 16, 2014
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SAN FRANCISCO, CA
Past
November 27, 2012 - May 16, 2014
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
SAN FRANCISCO, CA
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".
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 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
Alabama(8/15/2022)
RR
Alaska(3/6/2018)
RR
Arizona(5/19/2016)
IAR
Arizona(7/27/2023)
RR
California(5/19/2014)
IAR
California(5/19/2014)
RR
Colorado(10/5/2018)
RR
Connecticut(7/1/2021)
RR
Florida(5/12/2021)
RR
Georgia(7/1/2021)
RR
Hawaii(12/18/2018)
RR
Illinois(7/1/2021)
RR
Indiana(4/29/2020)
RR
Iowa(4/20/2021)
RR
Kansas(12/16/2019)
RR
Kentucky(7/12/2023)
RR
Louisiana(12/16/2019)
RR
Maine(11/6/2017)
RR
Maryland(7/1/2021)
RR
Massachusetts(4/20/2021)
RR
Michigan(7/1/2021)
RR
Minnesota(7/1/2021)
RR
Missouri(4/9/2020)
RR
Montana(10/21/2019)
RR
Nevada(7/12/2023)
RR
New Hampshire(7/12/2023)
RR
New Jersey(7/1/2021)
RR
New Mexico(7/12/2023)
RR
New York(7/1/2021)
RR
North Carolina(4/7/2022)
RR
Ohio(7/2/2021)
RR
Oklahoma(12/16/2019)
RR
Oregon(10/5/2018)
RR
Pennsylvania(7/1/2021)
RR
South Carolina(7/12/2023)
RR
South Dakota(8/15/2022)
RR
Tennessee(8/15/2022)
RR
Texas(12/16/2019)
IAR
Texas(12/16/2019)
RR
Vermont(7/1/2021)
RR
Virginia(4/9/2020)
RR
Washington(10/3/2018)
RR
Wisconsin(3/26/2019)
RR
Wyoming(7/1/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
