William Courtney Cain

Russell Investments

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Current Employers

Russell Investments

401 Union Street 18Th Floor, Seattle, WA 98101 • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2018-08-08

WA RA
APPROVED

Since 2018-08-08

Branch Locations

401 Union Street 18Th Floor, Seattle, WA 98101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	09/2014	07/2018
Russell Investments	Seattle	WA	08/2018	Present

09/2014 → 07/2018

Axa Advisors, Llc

New York, NY
08/2018 → Present

Russell Investments

Seattle, WA

Previous Registrations

2014-10-06 → 2018-08-06

Equitable Advisors, Llc

Bellevue, WA

Tacoma, WA

Tacoma, WA
2011-01-10 → 2014-08-18

Russell Investments

Seattle, WA
2010-04-15 → 2010-07-23

Chase Investment Services Corp.

Puyallup, WA
2007-08-27 → 2010-03-05

Equitable Advisors, Llc

Bellevue, WA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-08-23

S66 Uniform Combined State Law Examination

2007-08-23

Other Names

William C. Cain

View on SEC IAPD

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Other Investors

JOHN DAVID ALBERG

JEFFREY ALAN MULLEN

CHRIS DARRYL FEATHERSTONE

WILLIAM LEE REECE

ANDREW JAMES BARFOOT

JONATHAN JACOB WITTLIN

MATTHEW ALLAN TIGERT

JENNA M BRAZILE

Other Offices

KLAKNA GROUP LTD · SEATTLE, WA

EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA

MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA

ETERNAL DIGITAL FUND LTD. · SEATTLE, WA

FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA

CEDAR RIVER CAPITAL, LLC · SEATTLE, WA

ROBERT A. UNDERHILL P.C. · SEATTLE, WA

SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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