Regis E. Ruane

UNITED CAPITAL FINANCIAL ADVISORS

CARNEGIE, PA 15106

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CRD#: 1251906

Professional summary

Regis Edward Ruane, CFP®, who also goes by Rege Ruane, Regis E Ruane, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Carnegie, Pennsylvania and INTEGRITY ALLIANCE, LLC. located in Carnegie, Pennsylvania.

Regis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Regis has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rege Ruane | Regis E Ruane

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.UNITED CAPITAL FINANCIAL ADVISORS, LLC POSITION: Employee NATURE: Investment management and financial planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 10/30/2015 ADDRESS: 912 Washington Avenue, Carnegie PA 15106, United States DESCRIPTION: I work with clients to establish and maintain financial plans, including investment implementation. 2.UNITED CAPITAL RISK MANAGEMENT, LLC POSITION: Insurance Agent NATURE: Insurance agency used for processing fixed insurance and annuity business. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 10/30/2015 ADDRESS: 912 Washington Avenue, Carnegie PA 15106, United States DESCRIPTION: Acting as an insurance agent and submitting business

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Regis Edward Ruane'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®

CFP^®

Certified Financial Planner

Experience

Current

October 30, 2015 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 912 Washington Avenue, Carnegie, PA 15106

RIA

CRD#: 134600

CARNEGIE, PA

Current

November 3, 2025 - Present

INTEGRITY ALLIANCE, LLC.

Office #1: 912 Washington Ave, Carnegie, PA 15106

RIA

CRD#: 139627

Carnegie, PA

Past

February 15, 2024 - November 3, 2025

LION STREET FINANCIAL, LLC

CRD#: 165828

Carnegie, PA

Past

September 8, 2020 - November 22, 2023

CRD#: 837

BOSTON, MA

Past

January 3, 1989 - November 22, 1999

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

July 1, 1986 - January 25, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

Past

April 18, 1984 - July 15, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 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.

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

Florida
(11/4/2025)

New York
(11/3/2025)

IAR

Pennsylvania
(10/30/2015)

Pennsylvania
(11/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/19/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/2/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/31/1990

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Regis E. Ruane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Regis Edward Ruane's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

LION STREET FINANCIAL, LLC

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS & CO. LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

SELECT FINANCIAL GROUP, LLC

OSAIC WEALTH, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

TUCKER ANTHONY INCORPORATED

THE INVESTMENT CENTER, INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1999

Series 63

Date: 4/19/1984

SIE

Date: 10/1/2018

Series 31

Date: 12/2/2002

Series 7

Date: 4/14/1984

Series 24

Date: 5/31/1990

FINRA

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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