Michael Ruffalo, financial advisor Arlington Heights IL
93 score

Michael Ruffalo

CRD Number: 4452613
Current Firm: Royal Alliance Associates, Inc.

Michael Ruffalo (CRD# 4452613) is an Investment Advisor Representative working at Royal Alliance Associates, Inc. in Arlington Heights, IL and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Royal Alliance Schaumburg, IL Feb 2014 - Current 2
The Mortgage Store Company Schaumburg, IL Feb 2002 - Current 14
Independent Financial Group San Diego, CA Nov 2009 - Feb 2014 4
Lpl Financial Corporation Schaumburg, IL Sep 2009 - Nov 2009 < 1
Waterstone Financial Group Itasca, IL May 2004 - Nov 2006 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2001
S65 NASAA Investment Advisors Law Examination Jan 2002
Contact Info for Michael D. Ruffalo
Phone Number: 800-821-5100 EXT. 5389
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    4,629
    MILLIONS
  • Total Number of Accounts
    19,113
    ACCOUNTS
  • Average Account Value
    $242,202
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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