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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

MICHAEL JOSEPH RUGGIERI

Advisor at LPL FINANCIAL LLC

PHOENIX, AZ

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Search this name across graphsid dfx:ria:7741564c-ad44-2a4d-20c9-59d41717d34d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Dec 5, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 19, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 19, 1998
First registration: Dec 5, 2005
Dual registered: yes, broker-dealer
Other names: MIKE JOSEPH RUGGIERI
IAPD individual key: 2652152

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 6, 2026	n/a	yes	PHOENIX, AZ	Current employment
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC	Former SEC adviser	Jul 5, 2023	Aug 5, 2026	no	Peoria, AZ\|PHOENIX, AZ	Previous registration
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	Independent wealth	Feb 25, 2014	May 7, 2025	no	SCOTTSDALE, AZ\|SCOTTSDALE, AZ\|PRESCOTT, AZ\|PHOENIX, AZ\|BLOOMINGTON, MN	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Jul 3, 2013	Feb 3, 2014	no	PHOENIX, AZ	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jun 8, 2011	Dec 31, 2012	no	PHOENIX, AZ\|Phoenix, AZ\|Phoenix, AZ	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 20, 2009	Jun 1, 2011	no	SUN CITY WEST, AZ\|PHOENIX, AZ\|TUCSON, AZ\|PEORIA, AZ\|PEORIA, AZ\|TUCSON, AZ\|TEMPE, AZ\|PHOENIX, AZ\|SAN DIEGO, CA\|PHOENIX, AZ\|PEORIA, AZ\|PHOENIX, AZ\|PHOENIX, AZ\|TEMPE, AZ\|GLENDALE, AZ\|TUCSON, AZ\|TUCSON, AZ\|GILBERT, AZ	Previous registration
CUE FINANCIAL GROUP, INC.	Former SEC adviser	Feb 17, 2006	Jan 21, 2009	no	TUCSON, AZ\|TUCSON, AZ\|PHOENIX, AZ\|TEMPE, AZ\|SUN CITY WEST, AZ\|TUCSON, AZ\|PHOENIX, AZ\|MESA, AZ\|AUSTIN, TX\|TEMPE, AZ\|TUCSON, AZ\|PHOENIX, AZ\|GLENDALE, AZ\|PHOENIX, AZ\|TEMPE, AZ\|SCOTTSDALE, AZ\|TEMPE, AZ\|GLENDALE, AZ\|PEORIA, AZ\|TUCSON, AZ\|TUCSON, AZ\|TUCSON, AZ\|PHOENIX, AZ	Previous registration
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Dec 5, 2005	Jan 3, 2006	no	PHOENIX, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC	LPL FINANCIAL LLC	Aug 5, 2026	Jan 6, 2026	-211	Firm change after gap	RIA to ibd
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC	May 7, 2025	Jul 5, 2023	-672	Firm change after gap	RIA to RIA
SAGEPOINT FINANCIAL, INC.	UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	Feb 3, 2014	Feb 25, 2014	22	Firm change	Other
CHARLES SCHWAB & CO., INC.	SAGEPOINT FINANCIAL, INC.	Dec 31, 2012	Jul 3, 2013	184	Firm change	Other
LPL FINANCIAL LLC	CHARLES SCHWAB & CO., INC.	Jun 1, 2011	Jun 8, 2011	7	Firm change	Other
CUE FINANCIAL GROUP, INC.	LPL FINANCIAL LLC	Jan 21, 2009	Jan 20, 2009	-1	Firm change	Other
USAA INVESTMENT SERVICES COMPANY	CUE FINANCIAL GROUP, INC.	Jan 3, 2006	Feb 17, 2006	45	Firm change	Other

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 20, 2009 to Jun 1, 2011factForm ADV
→ THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Jul 5, 2023 to Aug 5, 2026factForm ADV
→ UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERRegistered adviserregistration: previous registration
Feb 25, 2014 to May 7, 2025factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Jul 3, 2013 to Feb 3, 2014factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jun 8, 2011 to Dec 31, 2012factForm ADV
→ CUE FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Feb 17, 2006 to Jan 21, 2009factForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Dec 5, 2005 to Jan 3, 2006factForm ADV

Dated events

Occurred
Aug 5, 2026
Advisor changed firm
Michael Joseph Ruggieri left The Capital Advisory Group Advisory Services, Llc for Lpl Financial Llc (registered 2026-01-06)
Form ADVobserved 6 days ago
Occurred
May 7, 2025
Advisor changed firm
Michael Joseph Ruggieri left United Planners' Financial Services Of America A Limited Partner for The Capital Advisory Group Advisory Services, Llc (registered 2023-07-05)
Form ADVobserved 6 days ago