Michael J. Ruggieri

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES

Peoria, AZ

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CRD#: 2652152

Professional summary

Michael Joseph Ruggieri, who also goes by Mike Joseph Ruggieri, is a registered financial advisor currently at THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC located in Peoria, Arizona and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Bloomington, Minnesota.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Joseph Ruggieri

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.) PROPERTY & CASUALTY INSURANCE - AUTO AND HOME OWNERS INSURANCE SALES AND SERVICE - PHOENIX, AZ - SINCE 10/2010 - INVESTMENT RELATED 2.) 401K CAPITAL ADVISORY - FINANCIAL ADVISOR/CHIEF COMPLIANCE OFFICER - DBA NAME FOR MARKETING PURPOSES ONLY - BLOOMINGTON, MN - SINCE 03/2023 - INVESTMENT RELATED 3.) THE CAPITAL ADVISORY GROUP LLC - FINANCIAL ADVISOR/CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR - BLOOMINGTON, MN - SINCE 03/2023 - INVESTMENT RELATED 4.) MACHTIG GROUP INC., LLC DBA MGI PUBLISHING - PUBLISHING COMPANY FOR BOOK PUBLISHING - CO-AUTHOR - PEORIA, AZ - SINCE 06/2023 - INVESTMENT RELATED 5.) THE CAPITAL ADVISORY GROUP ADVISORY SERVICES LLC - FINANCIAL ADVISOR/CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR - PEORIA, AZ - SINCE 07/2024 - INVESTMENT RELATED 6.) MICHAEL J RUGGIERI LLC - SOLE PARTNER - LLC FOR PAYROLL PURPOSES ONLY - PHOENIX, AZ - SINCE 07/2025 - NOT INVESTMENT RELATED 7.) MICHAEL J RUGGIERI LLC - GENERAL PARTNER - PASS THROUGH LLC FOR PAYROLL PURPOSES ONLY - PHOENIX, AZ - SINCE 07/2025 - NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Ruggieri's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 20804

PRESCOTT, AZ

Past

July 3, 2013 - February 3, 2014

OSAIC SERVICES, INC.

RIA

CRD#: 133763

PHOENIX, AZ

Past

July 2, 2013 - February 3, 2014

OSAIC SERVICES, INC.

CRD#: 133763

PHOENIX, AZ

Past

July 2, 2013 - February 3, 2014

CRD#: 7452

MALVERN, PA

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".

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

CRD#: 140551 / SEC#: 801-69464

RIA

Registered Investment Advisory firm - (8/25/2008 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

Alaska
(2/4/2014)

Arizona
(2/4/2014)

IAR

Arizona
(7/5/2023)

California
(2/4/2014)

Colorado
(2/4/2014)

Connecticut
(2/4/2014)

Delaware
(2/4/2014)

Florida
(2/4/2014)

Georgia
(2/4/2014)

Illinois
(2/4/2014)

Kansas
(2/4/2014)

IAR

Louisiana
(7/7/2023)

Maryland
(2/4/2014)

Massachusetts
(2/4/2014)

Michigan
(2/4/2014)

Minnesota
(2/4/2014)

IAR

Minnesota
(7/6/2023)

Missouri
(2/4/2014)

Nevada
(2/4/2014)

New Jersey
(2/4/2014)

New York
(2/4/2014)

North Carolina
(2/4/2014)

North Dakota
(4/14/2025)

Ohio
(2/4/2014)

Oregon
(2/4/2014)

Pennsylvania
(2/4/2014)

Texas
(2/4/2014)

IAR

Texas
(7/5/2023)

Utah
(2/4/2014)

Virginia
(2/4/2014)

Washington
(2/4/2014)

West Virginia
(2/4/2014)

Wisconsin
(2/4/2014)

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: 12/1/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/8/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 5/19/2014

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/20/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

CRD#: 140551 / SEC#: 801-69464

RIA

Registered Investment Advisory firm - (8/25/2008 Approved)

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Contact information

Main Address

10000 N 31st Ave Suite D216, Phoenix, AZ 85051

Mailing Address

Phone number

(952) 831-8243

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC BROCHURE (8/6/2025)

Regulatory assets under management

Total Number of Accounts	1,424
AUM (Assets Under Management)	$ 402,826,658

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.

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Advisor Monitoring

Firm Stability Insights

Michael J. Ruggieri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Ruggieri's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

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CHARLES SCHWAB & CO., INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUE FINANCIAL GROUP, INC.

CUE FINANCIAL GROUP, INC.

USAA INVESTMENT SERVICES COMPANY

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VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/2005

Series 63

Date: 10/19/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/8/1998

Series 51

Date: 5/19/2014

Series 24

Date: 6/20/2005

FINRA

Current Firm

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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