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WC

William C. Cain

RUSSELL INVESTMENTS
SEATTLE, WA 98101
Some features on this profile are disabled
CRD#: 5360902
WC

Professional summary

William Courtney Cain, who also goes by William C. Cain, is a registered financial advisor currently at RUSSELL INVESTMENTS located in Seattle, Washington and RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Seattle, Washington.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. William has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

William C. Cain

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 William Courtney Cain'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®
None

Experience

Current

August 8, 2018 - Present

RUSSELL INVESTMENTS

Office #1: 401 Union Street 18th Floor, Seattle, WA 98101
RIA
CRD#: 105734
SEATTLE, WA
Current

August 8, 2018 - Present

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

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

October 6, 2014 - August 6, 2018

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
BELLEVUE, WA
Past

September 23, 2014 - August 6, 2018

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
BELLEVUE, WA
Past

January 10, 2011 - August 18, 2014

RUSSELL INVESTMENTS

RIA
CRD#: 105734
SEATTLE, WA
Past

January 10, 2011 - August 18, 2014

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA
Past

April 15, 2010 - July 23, 2010

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
PUYALLUP, WA
Past

April 15, 2010 - July 23, 2010

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PUYALLUP, WA
Past

August 27, 2007 - March 5, 2010

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
BELLEVUE, WA
Past

August 3, 2007 - March 5, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
BELLEVUE, WA

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
Washington
(8/8/2018)
IAR
Washington
(8/8/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/23/2007
Uniform Combined 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: 8/2/2007
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)
PREMIUM
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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#: 105734Seattle, WA 98101

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