Ryan Philip Ruggaard
Professional Summary
Ryan Philip Ruggaard is a registered financial advisor currently at RUGGAARD & ASSOCIATES located in Chicago, Illinois. Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Ryan has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
11 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
RUGGAARD & ASSOCIATES | RUGGAARD & ASSOCIATES, LLC | RUGGAARD & ASSOCIATES, INC. | RUGGAARD & ASSOCIATES INC
Contact Information
Main Address
110 W Streetsboro St. Suite 1a, Hudson, OH 44236Phone Number
(330) 487-5888# of Employees
10SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
998AUM (Assets Under Management)
$368,561,588Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
RUGGAARD & ASSOCIATES | RUGGAARD & ASSOCIATES, LLC | RUGGAARD & ASSOCIATES, INC. | RUGGAARD & ASSOCIATES INC
State Registrations and Notice Filings
(8/19/2022)
(8/21/2022)
(1/10/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Aug 2017About the Series 87 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Ryan Philip Ruggaard's CRS (Customer Relationship Summary).
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