Ryan C. Ringuet

ARAX ADVISORY PARTNERS

Houston , TX 77027

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CRD#: 4868438

Professional summary

Ryan C Ringuet, who also goes by Ryan Christopher Ringuet, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Houston , Texas and USCA SECURITIES LLC located in Houston, Texas.

Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Ryan has worked at 6 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Aliases

Ryan Christopher Ringuet

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. USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 05/2014; >1 hour/month; 1-8 during trading hours; broker 2. US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; financial advisor; 06/2021; >1 hour/month; 1-8 during trading hours; advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan C Ringuet'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

July 19, 2026 - Present

ARAX ADVISORY PARTNERS

Office #1: 4444 Westheimer Road, G500, Houston , TX 77027

RIA

CRD#: 133535

Houston , TX

Current

May 27, 2014 - Present

USCA SECURITIES LLC

Office #1: 4444 Westheimer Suite G500, Houston, TX 77027

CRD#: 103789

HOUSTON, TX

Past

June 30, 2021 - July 21, 2026

U.S. CAPITAL WEALTH ADVISORS, LLC

RIA

CRD#: 288199

AUSTIN, TX

Past

June 13, 2014 - June 30, 2021

USCA RIA LLC

RIA

CRD#: 152170

HOUSTON, TX

Past

July 29, 2008 - June 5, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

September 17, 2007 - June 5, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

February 9, 2005 - August 16, 2007

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

MELVILLE, 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".

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 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

Arizona
(5/22/2017)

Arkansas
(1/22/2016)

California
(5/27/2014)

Colorado
(4/4/2024)

District of Columbia
(10/13/2025)

Florida
(5/27/2014)

Georgia
(5/27/2014)

Illinois
(5/27/2014)

Indiana
(5/27/2014)

Kansas
(6/9/2021)

Louisiana
(5/27/2014)

Maryland
(9/10/2015)

Massachusetts
(1/2/2025)

Michigan
(5/27/2014)

Minnesota
(7/2/2025)

Mississippi
(4/11/2016)

Missouri
(5/27/2014)

New Hampshire
(10/27/2025)

New Mexico
(5/27/2014)

New York
(5/27/2014)

North Carolina
(5/27/2014)

Ohio
(1/13/2020)

Oklahoma
(5/27/2014)

Oregon
(5/27/2014)

Pennsylvania
(5/27/2014)

South Dakota
(11/19/2014)

Tennessee
(7/1/2021)

Texas
(5/27/2014)

IAR

Texas
(7/19/2026)

Utah
(12/3/2018)

Virginia
(5/27/2014)

Washington
(8/31/2016)

West Virginia
(12/16/2020)

Wisconsin
(10/25/2017)

Wyoming
(4/18/2018)

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 66

Date: 7/7/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/29/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/8/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

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Contact information

Main Address

730 17th Street Suite 107, Denver, CO 80202

Mailing Address

Phone number

(303) 633-5900

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAP FORM ADV PART 2A 11172025 (11/17/2025)

Regulatory assets under management

Total Number of Accounts	16,559
AUM (Assets Under Management)	$ 8,960,126,874

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 C. Ringuet

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan C Ringuet's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA SECURITIES LLC

U.S. CAPITAL WEALTH ADVISORS, LLC

USCA RIA LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

LAIDLAW & COMPANY (UK) LTD.

Primary Firm SEC Registration

ARAX ADVISORY PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/7/2005

SIE

Date: 10/1/2018

Series 3

Date: 10/29/2013

Series 7

Date: 2/8/2005

FINRA

Current Firm

ARAX ADVISORY PARTNERS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAX ADVISORY PARTNERS

TRUST BUT VERIFY

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