Ronald A. Sauvageau
INTRUA FINANCIAL
Houston, TX 77098
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CRD#: 4184451
Professional summary
Ronald Allen Sauvageau, CFP® is a registered financial advisor currently at INTRUA FINANCIAL located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Ronald has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Business Succession Planning
Tax Planning
Investment Planning
Retirement Planning
Life Transitions
Estate Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Insurance Planning
What is your minimum asset requirement?
250K
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. 12/3/2009: NON-VARIABLE INSURANCE - CFP, MAY DO INSURANCE OUTSIDE OF LPL. - TIME SPENT 5% - HOUSTON, TX.
2. 10/14/2013: OTHER-FOR ACCOUNTING PURPOSES ONLY - SAUVAGEAU INVESTMENT GROUP, LP - THIS THE OPERATING COMPANY OF SAUVAGEAU MANAGEMENT LLC. - TIME SPENT 50% - HOUSTON, TX.
3. 10/14/2013: OTHER-FOR ACCOUNTING PURPOSES ONLY - SAUVAGEAU MANAGEMENT, LLC - THE GENERAL PARTNER MANAGEMENT COMPANY. - TIME SPENT 50% - HOUSTON, TX.
4. 03/11/2015 - INTRUA FINANCIAL - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - TIME SPENT 0 HOURS PER MONTH - HOUSTON, TX.
5. 10/9/2015 - Intrua Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 10/15/2015 - 120 Hours Per Month During Securities Trading - Serve as an Investment Advisor Representative under the Intrua Financial RIA. Activities may include financial planning, rendering investment advice for a fee, retirement plan consulting, or other related financial consulting.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Allen Sauvageau'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®
CFP®
Start date: 2004
Experience
Current
October 28, 2015 - Present
INTRUA FINANCIAL
Office #1: 3737 Buffalo Speedway Suite 400, Houston, TX 77098RIA
CRD#: 281554
Houston, TX
Current
June 24, 2009 - Present
LPL FINANCIAL LLC
Office #1: 3737 Buffalo Speedway Ste 400, Houston, TX 77098RIA
BD
CRD#: 6413
Houston, TX
Past
June 24, 2009 - July 23, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
September 5, 2003 - June 25, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
September 5, 2003 - June 25, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, TX
Past
May 29, 2001 - September 5, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
HOUSTON, TX
Past
July 10, 2000 - September 5, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
Registered Investment Advisory firm - (10/23/2015 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
Alabama(6/24/2009)
IAR
Alabama(5/18/2018)
RR
Arizona(8/4/2014)
RR
Arkansas(6/4/2021)
IAR
California(10/28/2015)
RR
California(5/19/2017)
RR
Colorado(6/24/2009)
RR
Connecticut(2/10/2014)
RR
Delaware(1/3/2014)
RR
Florida(6/24/2009)
RR
Georgia(1/20/2015)
RR
Illinois(6/24/2009)
RR
Indiana(3/1/2016)
RR
Louisiana(8/11/2014)
RR
Minnesota(6/24/2009)
IAR
Minnesota(5/18/2018)
RR
Missouri(4/15/2016)
RR
Montana(5/29/2024)
RR
Nevada(2/20/2018)
RR
New Mexico(10/16/2017)
RR
North Carolina(6/13/2017)
RR
North Dakota(6/24/2009)
RR
Ohio(8/16/2024)
RR
Oklahoma(10/7/2013)
IAR
Oklahoma(5/18/2018)
RR
Oregon(6/19/2013)
RR
Pennsylvania(11/17/2020)
RR
South Carolina(4/18/2023)
RR
South Dakota(4/27/2018)
RR
Texas(6/24/2009)
IAR
Texas(10/30/2015)
RR
Virginia(11/30/2015)
RR
Washington(6/24/2009)
IAR
Washington(5/18/2018)
RR
Wisconsin(1/13/2011)
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
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
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Contact information
Main Address
3737 Buffalo Speedway Suite 400, Houston, TX 77098
Mailing Address
Phone number
(713) 355-9910
Established
Firm type
Fiscal year end
# of Employees
48
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,051 |
| AUM (Assets Under Management) | $ 1,212,765,982 |
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.
