Richard James Rugel
Investment adviser representative at Integrity Alliance, LLC
14 yearsExperience
1 stateRegistered in
$5.4BFirm assets
17 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
14 years in the industry.
- Integrity Alliance, LLC.Jan 2026 to now
- Advisors Insurance BrokersFeb 2024 to now
- The Leaders Group IncFeb 2024 to Dec 2025
- First National Bank of ScotiaDec 2023 to Feb 2024
- Osaic Institutions, Inc.Dec 2023 to Feb 2024
- Pruco Securities, LLC.Mar 2020 to Dec 2023
- Prudential Insurance Company of AmericaMar 2020 to Dec 2023
- Allstate Insurance CompanyNov 2012 to Mar 2020
Exams passed
- Series 63 · Uniform Securities Agent State Law2001
- Series 65 · Uniform Investment Adviser Law2022
State registrations
Registered as an investment adviser representative in 1 state (NY).
Integrity Alliance, LLC
$5.4BAssets managed
10,885Clients
335Advisers
17 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 3200986
- Firm CRD
- 139627