Ryan W. Rogalski

UNITED CAPITAL FINANCIAL ADVISORS

MEMPHIS, TN 38120

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CRD#: 4479682

Professional summary

Ryan Walter Rogalski is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Memphis, Tennessee and INTEGRITY ALLIANCE, LLC. located in Memphis, Tennessee.

Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Ryan has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Walter Rogalski'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®

None

Experience

Current

February 19, 2013 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 5350 Poplar Ave Suite 310, Memphis, TN 38120

RIA

CRD#: 134600

MEMPHIS, TN

Current

November 3, 2025 - Present

INTEGRITY ALLIANCE, LLC.

Office #1: 5350 Poplar Ave Ste 310, Memphis, TN 38119

RIA

CRD#: 139627

Memphis, TN

Past

February 13, 2024 - November 3, 2025

LION STREET FINANCIAL, LLC

CRD#: 165828

Memphis, TN

Past

September 3, 2020 - November 14, 2023

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

MEMPHIS, TN

Past

September 1, 2020 - November 14, 2023

GOLDMAN SACHS & CO. LLC

CRD#: 361

HOLYOKE, MA

Past

November 1, 2017 - September 1, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MEMPHIS, TN

Past

March 1, 2013 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

MEMPHIS, TN

Past

March 2, 2012 - December 17, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

MEMPHIS, TN

Past

July 21, 2010 - December 17, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MEMPHIS, TN

Past

February 18, 2003 - August 28, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MEMPHIS, TN

Past

July 1, 2002 - December 16, 2002

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

April 3, 2002 - July 1, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 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

California
(11/3/2025)

IAR

Tennessee
(2/19/2013)

Tennessee
(11/3/2025)

Texas
(11/3/2025)

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: 2/29/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/15/2002

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: 3/19/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/1/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 10/22/2010

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/2/2010

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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

Ryan W. Rogalski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Walter Rogalski's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

LION STREET FINANCIAL, LLC

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS & CO. LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/29/2012

Series 63

Date: 2/15/2002

SIE

Date: 10/1/2018

Series 7

Date: 3/19/2008

Series 6

Date: 2/1/2002

Series 9

Date: 10/22/2010

Series 10

Date: 9/2/2010

FINRA

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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