AR
Aaron P. Rugh
RM FINANCIAL SERVICES
Falmouth, ME 04105
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CRD#: 2364853
AR
Professional summary
Aaron Pike Rugh is a registered financial advisor currently at RM FINANCIAL SERVICES, LLC located in Falmouth, Maine and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Aaron has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 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.
1) RENTAL PROPERTY POSITION: owner NATURE: Rental Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1998 ADDRESS: 4 Lunt Road, Falmouth ME 04105 DESCRIPTION: receive rents. maintain property 2) Fixed Insurance. Investment Related. At Registered Location. Agent. Fixed/Traditional Insurance. 10/18/2023. 5 hrs/month all during trading hours. Provide insurance advice based on the needs of clients. 3) PKSF. Investment Related. At Registered Location. Agent. Fixed/Traditional Insurance. 10/18/2023. 5 hrs/month all during trading hours. Provide insurance advice based on the needs of clients. 4) RM Financial Services, LLC. Investment Related. At Registered Location. RIA. IAR/Financial Advisor. 12/2006. 150 hrs/month all during trading hours. Portfolio Manager/Financial Planner/CEO. 5) DOWN EAST YACHT CLUB POSITION: Board Member NATURE: Charity/Non-Profit Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/1/2021 ADDRESS: PO Box 2684, Augusta ME 04338, United States DESCRIPTION: Board Member
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Pike Rugh'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
October 25, 2019 - Present
RM FINANCIAL SERVICES, LLC
Office #1: 362 Us Route One, Falmouth, ME 04105RIA
CRD#: 304297
Falmouth, ME
Current
October 20, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207Office #2: 362 Us Route One, Falmouth, ME 04105BD
CRD#: 35747
ALBANY, NY
Past
December 19, 2006 - October 26, 2023
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
FALMOUTH, ME
Past
December 15, 2006 - October 18, 2023
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
FALMOUTH, ME
Past
October 14, 1993 - December 19, 2006
EDWARD JONES
BD
CRD#: 250
FALMOUTH, ME
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".
RF
RM FINANCIAL SERVICES, LLC
RM FINANCIAL SERVICES, LLC
CRD#: 304297 / SEC#: 801-120468
RIA
Registered Investment Advisory firm - (3/8/2021 Approved)Maine
Registered Investment Advisory firm - (3/30/2021 Terminated)New Hampshire
Registered Investment Advisory firm - (4/14/2021 Terminated)Virginia
Registered Investment Advisory firm - (3/24/2021 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
California(10/20/2023)
RR
Florida(10/20/2023)
IAR
Maine(10/25/2019)
RR
Maine(10/26/2023)
RR
Massachusetts(10/20/2023)
RR
New Hampshire(10/20/2023)
RR
New Mexico(10/25/2023)
RR
Pennsylvania(10/20/2023)
RR
Tennessee(10/20/2023)
RR
Texas(10/20/2023)
RR
Virginia(10/20/2023)
RR
Washington(10/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 10/20/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
RM FINANCIAL SERVICES, LLC
RM FINANCIAL SERVICES, LLC
CRD#: 304297 / SEC#: 801-120468
RIA
Registered Investment Advisory firm - (3/8/2021 Approved)Maine
Registered Investment Advisory firm - (3/30/2021 Terminated)New Hampshire
Registered Investment Advisory firm - (4/14/2021 Terminated)Virginia
Registered Investment Advisory firm - (3/24/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
362 Us Route One, Falmouth, ME 04105
Mailing Address
Phone number
(207) 781-7637
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 993 |
| AUM (Assets Under Management) | $ 221,081,455 |
Red Flags
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Company Information
RM FINANCIAL SERVICES, LLC
CRD#: 304297Falmouth, ME 04105TRUST BUT VERIFY
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Contact information
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