RR
Richard J. Rugel
TLG ADVISORS
Clifton Park, NY 12065
Some features on this profile are disabled
CRD#: 3200986
RR
Professional summary
Richard James Rugel, who also goes by Richard James Rugel, is a registered financial advisor currently at TLG ADVISORS, INC. located in Clifton Park, New York and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard James Rugel
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.) ADVISORS INSURANCE BROKERS - 2/19/2024 - 11 Executive Park Drive, Clifton Park, NY 12065 - Annuity & Life Sales Coordinator, Helping agents sell and process annuity and life cases, Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) TLG ADVISORS INC - 2/28/2024 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, RA business, 0 hrs/mo; 0 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view Richard James Rugel'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
February 28, 2024 - Present
TLG ADVISORS, INC.
Office #1: 11 Executive Park Drive, Clifton Park, NY 12065RIA
CRD#: 111052
Clifton Park, NY
Current
February 29, 2024 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
December 12, 2023 - February 15, 2024
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
Scotia, NY
Past
December 12, 2023 - February 15, 2024
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Scotia, NY
Past
January 14, 2022 - December 18, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Syracuse, NY
Past
April 2, 2020 - December 18, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Syracuse, NY
Past
December 19, 2012 - April 1, 2020
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
SCHENECTADY, NY
Past
June 16, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
LATHAM, NY
Past
June 16, 2005 - November 29, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
LATHAM, NY
Past
January 28, 2004 - March 9, 2005
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
April 5, 2001 - February 5, 2003
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
December 20, 2000 - March 29, 2001
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 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
Arizona(6/27/2025)
IAR
New York(2/28/2024)
RR
New York(2/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
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Contact information
Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
