MR
Mark A. Ruzicka
RIGHTEOUS FINANCIAL
AUSTIN, TX 78751-2240
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CRD#: 6228787
MR
Professional summary
Mark Andrew Ruzicka, AIF® is a registered financial advisor currently at RIGHTEOUS FINANCIAL, LLC located in Austin, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Mark has worked at 3 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.
Mark Ruzicka is a licensed insurance agent. Investment related Yes, start date 2011, time spent approx. 20-30 hours per month. From time to time, he will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. The Investment Adviser always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of the Investment Adviser in their capacity as a licensed insurance agent.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Andrew Ruzicka'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®
Experience
Current
November 9, 2021 - Present
RIGHTEOUS FINANCIAL, LLC
Office #1: 900 E 51st St Ste 111, Austin, TX 78751-2240RIA
CRD#: 315575
AUSTIN, TX
Past
September 19, 2017 - May 27, 2021
CENTRIC ADVISORS, LLC
RIA
CRD#: 282477
HOUSTON, TX
Past
October 9, 2013 - September 22, 2016
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
AUSTIN, TX
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
Texas(11/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RF
RIGHTEOUS FINANCIAL, LLC
RIGHTEOUS ADVISING | RIGHTEOUS FINANCIAL, LLC | RIGHTEOUS ADVISING, LLC
CRD#: 315575 / SEC#:
Texas
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Contact information
Main Address
900 E 51st St Ste 111, Austin, TX 78751-2240
Mailing Address
Phone number
(888) 500-1505
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 1,388,554 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 9/8/2021 |
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.
