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Richard James Rugel

TLG Advisors, Inc.

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About Richard James Rugel

Richard Rugel is an investment advisor representative and registered representative with TLG Advisors, Inc. with over 20 years of experience in the industry. Richard is also an active member of the firm and is a registered representative in New York. Richard specializes in providing financial planning, portfolio management for individuals and businesses, and selection of other advisors.

Firm Information

Richard Rugel is currently registered with TLG Advisors, Inc.. TLG Advisors, Inc. is a Littleton, CO-based investment advisor with $1 billion to $10 billion in assets under management. The firm offers portfolio management, financial planning, and pension consulting to individuals, corporations, pension funds, and charitable organizations. TLG Advisors, Inc. also provides placement services for institutional funds and other investment advisory services. The firm has over 260 registered representatives and advisors serving clients nationwide.
TLG Advisors, Inc.

26 WEST DRY CREEK CIRCLE

LITTLETON, CO 80120

$1.66B

Assets Under Management

38

Total Clients

257

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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placement of institutional funds

Placement of institutional funds

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Rugel’s Registration & Firm History

CO

02/28/2024 - Present

TLG Advisors, Inc. (LITTLETON CO)

NY

12/12/2023 - 02/15/2024

OSAIC INSTITUTIONS, INC. (Scotia NY)

NY

04/02/2020 - 12/18/2023

PRUCO SECURITIES, LLC. (Syracuse NY)

NY

12/19/2012 - 04/01/2020

ALLSTATE FINANCIAL SERVICES, LLC (SCHENECTADY NY)

NY

06/16/2005 - 11/29/2012

METLIFE SECURITIES INC. (LATHAM NY)

NY

06/16/2005 - 07/09/2007

METROPOLITAN LIFE INSURANCE COMPANY (LATHAM NY)

NJ

01/28/2004 - 03/09/2005

PRUCO SECURITIES, LLC. (NEWARK NJ)

KS

04/05/2001 - 02/05/2003

WADDELL & REED, INC. (OVERLAND PARK KS)

MA

12/20/2000 - 03/29/2001

SIGNATOR INVESTORS, INC. (BOSTON MA)

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Licenses & Designations

IA

Issued 01/13/2022

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/12/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/27/2004

Series 7 - General Securities Representative Examination

BC

Issued 12/19/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Richard James Rugel. Review regulatory record here.
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