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Yaakov Ringler

23 Years of Experience
New York, NY
2 DisclosuresBroker

Yaakov Ringler is a registered investment advisor at Raymond James & Associates, INC., based in New York, NY, with 23 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B

Fee Structure

Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location

320 Park Avenue, Fl 9, New York, NY, 10022

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2019
Settled
Employment Separation After Allegations
June 2019
Other Business Activities

Yaakov is the owner/proprietor of EdenAdie LLC, which holds rental properties, and spends minimal time on it. He is also a partner in MRL Anthropic LLC, dedicating minimal time to that business as well.

Employment History
Current Registrations
Raymond James & Associates, INC.Broker
December 2021 - Present · 4 yrs 5 mos
Raymond James & Associates, INC.
December 2021 - Present · 4 yrs 5 mos
Previous Registrations
Citigroup Global Markets INC.
April 2020 - December 2021 · 1 yr 8 mos
Citigroup Global Markets INC.Broker
April 2020 - December 2021 · 1 yr 8 mos
Litvak Wealth, LLC
September 2019 - April 2020 · 7 mos
Morgan Stanley
September 2010 - July 2019 · 8 yrs 10 mos
Morgan StanleyBroker
September 2010 - July 2019 · 8 yrs 10 mos
Goldman, Sachs & CO.Broker
August 2002 - September 2010 · 8 yrs 1 mo
State Registrations22 states
ALAZCACOCTDEFLGAKYMEMINCNJNVNYOHPASCSDTXVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.