Maureen P. Ruggiero

MENDEL CAPITAL MANAGEMENT

LITTLE ROCK, AR 72205

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CRD#: 4214631

Professional summary

Maureen Patricia Ruggiero, CFP®, who also goes by Maureen Patricia Mullaney, Maureen P. Ruggiero, is a registered financial advisor currently at MENDEL CAPITAL MANAGEMENT, LLC located in Little Rock, Arkansas.

Maureen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Maureen has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Maureen Patricia Mullaney | Maureen P. Ruggiero

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maureen Patricia Ruggiero'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

Start date: 2021

Experience

Current

January 4, 2021 - Present

MENDEL CAPITAL MANAGEMENT, LLC

Office #1: 18 Corporate Hill Drive Suite 202, Little Rock, AR 72205

RIA

CRD#: 311919

LITTLE ROCK, AR

Past

January 20, 2011 - April 23, 2021

DEEP CREEK COLTS, INC.

RIA

CRD#: 105002

LITTLE ROCK, AR

Past

August 1, 2001 - December 31, 2001

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

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".

MENDEL CAPITAL MANAGEMENT, LLC

GNMR, LLC | MENDEL CAPITAL MANAGEMENT, LLC

CRD#: 311919 / SEC#: 801-120079

RIA

Registered Investment Advisory firm - (1/4/2021 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.

Highlighted states indicate IAR registrations

IAR

Arkansas
(1/4/2021)

IAR

Texas
(1/7/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/18/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/2/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/31/2001

General Securities Representative Examination

Current Firm

MENDEL CAPITAL MANAGEMENT, LLC

GNMR, LLC | MENDEL CAPITAL MANAGEMENT, LLC

CRD#: 311919 / SEC#: 801-120079

RIA

Registered Investment Advisory firm - (1/4/2021 Approved)

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Contact information

Main Address

18 Corporate Hill Drive Suite 202, Little Rock, AR 72205

Mailing Address

Phone number

(501) 225-1405

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MENDEL CAPITAL MANAGEMENT, LLC ADV BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	403
AUM (Assets Under Management)	$ 240,969,771

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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Maureen P. Ruggiero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maureen Patricia Ruggiero's CRS (Customer Relationship Summary).

Certified licenses

Experience

MENDEL CAPITAL MANAGEMENT, LLC

DEEP CREEK COLTS, INC.

FFP SECURITIES, INC.

Primary Firm SEC Registration

MENDEL CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/18/2011

Series 66

Date: 10/2/2001

Series 7

Date: 7/31/2001

Current Firm

MENDEL CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MENDEL CAPITAL MANAGEMENT, LLC

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