Mario Luis Ruiz

Current Employers

Regal Investment Advisors Llc

2687 44Th Street Se, Kentwood, MI 49512 • United States

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2024-09-27
TX	RA	APPROVED	2023-05-01

VA RA
APPROVED

Since 2024-09-27
TX RA
APPROVED

Since 2023-05-01

Branch Locations

20130 Lakeview Center Plaza Ste 400, Ashburn, VA 20147 • United States

7500 Rialto Blvd., Suite 1-250, Austin, TX 78735 • United States

2687 44Th Street Se, Kentwood, MI 49512 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Regal Investment Advisors, Llc	Kentwood	MI	05/2023	Present
James C Musgrave	Silver Spring	MD	08/2017	06/2023
Reliance Funding	Bethesda	MD	10/2015	11/2016
Unemployed	Bethesda	MD	11/2016	08/2017

05/2023 → Present

Regal Investment Advisors, Llc

Kentwood, MI
08/2017 → 06/2023

James C Musgrave

Silver Spring, MD
10/2015 → 11/2016

Reliance Funding

Bethesda, MD
11/2016 → 08/2017

Unemployed

Bethesda, MD

Other Businesses

Business Name: Regal Financial Group - Investment Related: Yes - Address: 7500 Rialto Blvd, Ste 1-250, Austin, TX 78735 AND 13800 Coppermine Road, Herndon, VA 20171 - Nature of Business: Investment advisory activity through Regal Investment Advisors, LLC using a DBA name; Insurance - Title or Relationship: Investment Advisor Representative; Insurance Agent - Start Date: 6/1/2023 - Hours per month: 160 - Hours per month during trading hours: 135 - Duties: Provide financial and insurance services.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-04-01

S65 Uniform Investment Adviser Law Examination

2023-04-01