Royce Todd Ruth

Current Employers

Employment History

• 06/1999 → Present
  Strategic Legacy Advisors, Inc.
  Lincoln, NE
• 03/2015 → 03/2019
  Questar Capital Corporation
  Minneapolis, MN
• 03/2019 → 01/2024
  Woodbury Financial Services, Inc.
  Lincoln, NE
• 01/2024 → Present
  Osaic Wealth, Inc.
  Lincoln, NE
• 03/2015 → 03/2019
  Questar Asset Management
  Minneapolis, MN

Previous Registrations

• 2019-03-01 → 2024-01-19
  Woodbury Financial Services, Inc.
  Lincoln, NE
• 2015-03-25 → 2019-03-01
  Questar Asset Management, Inc.
  Lincoln, NE
  Minneapolis, MN
• 2012-02-17 → 2015-02-19
  Girard Securities, Inc.
  Omaha, NE
  Lincoln, NE
  Ottumwa, IA
  Columbus, NE
• 2007-07-27 → 2010-09-17
  Strategic Legacy Advisors, Inc.
  Lincoln, NE
• 2001-03-22 → 2007-07-26
  Qa3 Financial Llc
  Lincoln, NE

Other Businesses

1) STATEGIC LEGACY ADVISORS POSITION: Owner NATURE: Marketing Organization and DBA for securities business. Owner of 33.3% of this sub-S corporation. Mike Owens owns 33.3% and Dwain Owens owns 33.3% INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 06/24/1999 ADDRESS: 875 South 48th Street, Lincoln NE 68510, United States DESCRIPTION: Marketing of securities and financial planning. 2) STRATEGIC RISK MANAGEMENT GROUP INC. POSITION: Owner NATURE: S-corporation that its income comes from the renewals of fixed insurance products. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 08/10/1989 ADDRESS: 875 South 48th Street, Lincoln NE 68510, United States DESCRIPTION: Marketing of fixed life insurance and client review of policies. 3) STRATEGIC PLANNING PARTNERS POSITION: Partner NATURE: An LLC which I own 50% of with another financial advisor by the name of Mike Owens who owns the other 50%. The purpose of this entity is to own our office building in Lincoln NE and is an operating entity for managing our overhead expenses for our securities and fixed insurance business. We also pay our office staff from this entity. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 01/01/1998 ADDRESS: 875 South 48th Street, Lincoln NE 68510, United States DESCRIPTION: manage the income and expenses of our office 4) RMD GROUP POSITION: Owner NATURE: Owner of 1/3 of the RMD group which is a Sub-S corporation. Purpose of this entity is owning our office building in Omaha. We have a few other tenants that pay us rent. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/06/2014 ADDRESS: 10831 Old Mill Road, Omaha NE 68154, United States DESCRIPTION: No daily duties, entity for the purpose of owning our office building 5) ROYCE RUTH LIVESTOCK POSITION: owner NATURE: Owner/operator where I buy and sell personally raised livestock (cattle) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/10/1993 ADDRESS: 11901 West McKelvie Road, Malcolm NE 68402, United States DESCRIPTION: buying and selling of personally owned cattle that I have raised. 6) RJ RUTH ENTERPRISES, INC POSITION: Owner NATURE: Pass through entity for commissions from fixed insurance, long term care insurance and flow through for securities commissions paid. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2003 ADDRESS: 875 South 48th Street, Lincoln NE 68510, United States DESCRIPTION: Owner of this entity which isa passthrough entity for my fixed life insurance, long term care insurance and flow through for securities commissions and then I use this income to pay for my businessexpenses. So I manage the income and expenses of this entity. 7) STATEGIC LEGACY ADVISORS POSITION: Owner NATURE: Marketing Organization and DBA for securities business. Owner of 33.3% of this sub-S corporation. Mike Owens owns 33.3% and Dwain Owens owns 33.3% INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 06/24/1999 ADDRESS: 875 South 48th Street, Lincoln NE 68510, United States DESCRIPTION: Marketing of securities and financial planning. 8) STRATEGIC TAX MANAGEMENT LLC, DBA BRING AND ASSOCIATES POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2023 ADDRESS: 875 South 48th Street, Lincoln NE 68510, United States DESCRIPTION: I am 100% owner of Bring and Associates, which is a bookkeeping and tax preparation company. We have two full time employees and two part time employees that were part of the business when we purchased it. During the tax season I may get involved in completing a few tax returns, but after the tax season my primary role is to review and advise with staff. I do not expect to spend more than 5 hours per month in any capacity.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-01-27
• S63 Uniform Securities Agent State Law Examination
  1996-12-12