Brian A. Pugal

RESOURCE FINANCIAL GROUP, LTD.

Wilmette, IL 60091

Some features on this profile are disabled

CRD#: 4626115

Professional summary

Brian Anthony Pugal, CFP®, CIMA® is a registered financial advisor currently at RESOURCE FINANCIAL GROUP, LTD. located in Wilmette, Illinois and OSAIC WEALTH, INC. located in Wilmette, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

RESOURCE FINANCIAL GROUP, LTD. POSITION: Wealth Manager NATURE: ADVISORY & FINANCIAL PLANNING INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/31/2017 ADDRESS: 1000 Skokie Blvd Suite 525, Wilmette IL 60091 DESCRIPTION: Investment Portfolio Management, Financial Planning Advice, Wealth Management Advice

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Anthony Pugal'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: 2016

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 26, 2017 - Present

RESOURCE FINANCIAL GROUP, LTD.

Office #1: 1000 Skokie Blvd. Suite 525, Wilmette, IL 60091

RIA

CRD#: 119833

Wilmette, IL

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1000 Skokie Blvd., Suite 525, Wilmette, IL 60091

RIA

CRD#: 23131

WILMETTE, IL

Past

September 18, 2020 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

WILMETTE, IL

Past

October 27, 2008 - September 18, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

WILMETTE, IL

Past

June 28, 2007 - October 2, 2008

OSAIC SERVICES, INC.

CRD#: 133763

WILMETTE, IL

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".

RESOURCE FINANCIAL GROUP, LTD.

RESOURCE FINANCIAL GROUP, LTD. | SOLOMON FINANCIAL SERVICES LLC

CRD#: 119833 / SEC#: 801-66619

RIA

Registered Investment Advisory firm - (5/9/2006 Approved)

Illinois

Registered Investment Advisory firm - (5/9/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Illinois
(9/26/2017)

Illinois
(6/14/2024)

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: 5/14/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/2008

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: 6/27/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RESOURCE FINANCIAL GROUP, LTD.

RESOURCE FINANCIAL GROUP, LTD. | SOLOMON FINANCIAL SERVICES LLC

CRD#: 119833 / SEC#: 801-66619

RIA

Registered Investment Advisory firm - (5/9/2006 Approved)

Illinois

Registered Investment Advisory firm - (5/9/2006 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1000 Skokie Blvd. Suite 525, Wilmette, IL 60091

Mailing Address

Phone number

(847) 256-7495

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE RESOURCE FINANCIAL GROUP LTD. (3/28/2025)

Regulatory assets under management

Total Number of Accounts	892
AUM (Assets Under Management)	$ 542,637,292

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian A. Pugal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Anthony Pugal's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

SECURITIES SERVICE NETWORK, LLC

OSAIC SERVICES, INC.

Primary Firm SEC Registration

RESOURCE FINANCIAL GROUP, LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/2013

Series 63

Date: 3/4/2008

SIE

Date: 10/1/2018

Series 7

Date: 6/27/2007

FINRA

Current Firm

RESOURCE FINANCIAL GROUP, LTD.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RESOURCE FINANCIAL GROUP, LTD.

TRUST BUT VERIFY

Similar Advisors