Unclaimed Profile

Michael Case Smith

RUGGIE CAPITAL GROUP, INC.·TAVARES, Florida

SIE, Series 3, Series 6, Series 7, Series 31, Series 63, Series 65Clean record12 years registeredRUGGIE CAPITAL GROUP, INC.

2100 LAKE EUSTIS DR., TAVARES, FL 32778CRD# 1845505Firm CRD# 145595

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Michael Case Smith · TAVARES, FL

Registration

CRD #1845505 · RUGGIE CAPITAL GROUP, INC. · 12 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: RUGGIE CAPITAL GROUP, INC.

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Sep 2020 – Mar 2022

JACKSONVILLE, FL

MML INVESTORS SERVICES, LLC

May 2017 – Feb 2020

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AXA ADVISORS, LLC

Jul 2016 – May 2017

JACKSONVILLE, FL

RWM ASSET MANAGEMENT, LLC

Jun 2015 – Aug 2016

JACKSONVILLE, FL

ASSET ADVISORS OF AMERICA, LLC

Oct 2013 – Aug 2016

LONGWOOD, FL

RUGGIE WEALTH MANAGEMENT

Sep 2013 – Aug 2016

TAVARES, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 6

Series 7

Series 31

Series 63

Series 65

Registration record

First registered · September 3, 2013

Years registered · 12

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

RUGGIE CAPITAL GROUP, LLC

CRD 145595 · SEC 801-69419

AUM

$15M

Regulatory assets under management

Employees

25 client accounts

Services offered by RUGGIE CAPITAL GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at RUGGIE CAPITAL GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does Michael Case Smith offer?

Michael Case Smith specializes in Financial Planning, Investment Management, Retirement Planning.

What are Michael Case Smith's credentials?

Michael Case Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Michael Case Smith located?

Michael Case Smith is based in TAVARES, Florida, last registered with RUGGIE CAPITAL GROUP, INC..

How does Michael Case Smith charge for services?

Michael Case Smith's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RUGGIE CAPITAL GROUP, INC.?

RUGGIE CAPITAL GROUP, INC. has approximately 15 employees and manages $15M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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