TR
Thomas A. Ruggiero
RUGGIERO INVESTMENTS
Melbourne, FL 32940
Some features on this profile are disabled
CRD#: 1525862
TR
Professional summary
Thomas Anthony Ruggiero is a registered financial advisor currently at RUGGIERO INVESTMENTS located in Melbourne, Florida and FINALIS SECURITIES LLC located in New York, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 26 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Ruggiero Investments; CEO Started 8/2015 Registered Investment Advisor (RIA) - Investment Related. Compensation: Fee Based on AUM; Role: President; Approximate 130 hr Month during Market hours 2) Ruggiero Insurance Agency, LLC; Authorized Representative, started: 10/2019; CEO; engaged in insurance sales to individuals and businesses. Approximate 5 hrs Month to Insurance business 3 hrs during market hours. 3) Ruggiero Group Benefits Agency, LLC; Authorized Representative, started: 10/2019; CEO; Engaged in providing Group Benefits to companies. Approximate 5 hrs Month to Insurance business 3 hrs during market hrs 4) Ruggiero Consulting, LLC; investment related; 500 S Australian Ave Suite 608, West Palm Beach, FL, 32940; Used for the Broker-Dealer Business to Finalis Platform; Registered Representative; 03/03/2025; I will be focused on bringing syndication deals in need of funding. 5) Ruggiero, LLC; Managing Member Started 3/2025 Holding / Parent Company that owns Ruggiero Group Benefits Agency, LLC; Ruggiero Insurance Agency, LLC; Ruggiero Consulting, LLC. Approximate 1 hr Month during Market hours. 6) Three Plus One Plus One, LLC; Business for Creating Inventions, Patents, and Trademarks. Non-Investment Related. Owner, Started: 7/2010 Approximate 3 hrs Month to business 0 during market hours. 7) Legacy 4Ward; Started: 4/2025; Focused on succession planning for financial advisors, insurance agents, and CPAs. Title: Advisor; Role: Advisor looking for books; Investment- Related; Compensation: Will charge a commission for the purchase or sale of a book of business;, Approximate 2 hrs. Month to business 0 hrs during market hours. 8) Reliable Accountants, LLC; 34-25 28th Ave Astoria NY 11103; Accounting Practice; position; Owner. Ruggiero, LLC owns 50% of the accounting practice; Not Investment-Related; 10/2025; Approximate 2 hrs Month to business 5 hrs during market hours.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Anthony Ruggiero's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 17, 2013 - Present
RUGGIERO INVESTMENTS
Office #1: 3159 Alzante Circle Suite Suite 102b., Melbourne, FL 32940Office #2: 407 E. Main St. Suite 3, Port Jefferson, NY 11777Office #3: 300 Se 2nd St Suite 600 Office # 27, Ft. Lauderdale, FL 33301Office #4: 500 S. Austrailian Avenue Suite 608, West Palm Beach, FL 33401RIA
CRD#: 169180
Melbourne, FL
Current
June 5, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003BD
CRD#: 305908
New York, NY
Past
June 29, 2023 - May 6, 2025
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
West Palm BEach, FL
Past
April 5, 2018 - July 21, 2023
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
MELBOURNE, FL
Past
June 9, 2015 - August 2, 2016
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
NEW YORK, NY
Past
October 27, 2010 - August 16, 2013
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
COCOA BEACH, FL
Past
July 9, 2010 - August 16, 2013
STONEX SECURITIES INC.
BD
CRD#: 18456
COCOA BEACH, FL
Past
May 11, 2010 - July 8, 2010
JESUP & LAMONT ADVISORS
RIA
CRD#: 108006
INDIALANTIC, FL
Past
February 26, 2010 - July 8, 2010
JESUP & LAMONT SECURITIES CORP
BD
CRD#: 39056
INDIALANTIC, FL
Past
January 23, 2008 - February 10, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
PALM BEACH, FL
Past
January 17, 2008 - February 10, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PALM BEACH, FL
Past
November 20, 2007 - January 7, 2008
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
VENICE, FL
Past
May 16, 2007 - January 7, 2008
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
VENICE, FL
Past
April 13, 2006 - September 12, 2006
INVESTORS SECURITY COMPANY, INC.
BD
CRD#: 2331
MERRITT ISLAND, FL
Past
October 20, 2004 - November 12, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
April 16, 2004 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
May 17, 2001 - February 13, 2004
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
July 8, 1999 - May 10, 2001
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
July 29, 1996 - February 22, 1999
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
June 1, 1992 - August 3, 1994
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
September 28, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
BD
CRD#: 14675
Past
July 20, 1990 - October 9, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
BD
CRD#: 20221
Past
August 10, 1989 - November 6, 1989
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
August 1, 1989 - August 16, 1989
REICH & CO., INC.
BD
CRD#: 19611
Past
June 29, 1989 - July 21, 1989
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
March 15, 1989 - July 21, 1989
LEGEND MERCHANT GROUP, INC.
BD
CRD#: 5155
Past
November 18, 1988 - March 10, 1989
INVESTORS CENTER, INC.
BD
CRD#: 14670
Past
May 24, 1988 - November 22, 1988
J. T. MORAN & CO., INC.
BD
CRD#: 15655
Past
November 19, 1987 - June 7, 1988
GREELEY SECURITIES, INC.
BD
CRD#: 7738
Past
September 24, 1986 - November 30, 1987
MACPEG, ROSS, O'CONNELL & GOLDABER, INC.
BD
CRD#: 8297
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RI
RUGGIERO INVESTMENTS
ESTATE PLANZ | THOMAS ANTHONY RUGGIERO | RUGGIERO, THOMAS | RUGGIERO INVESTMENTS, INC. | RUGGIERO INVESTMENTS | RETIREMENT SERVICES OF AMERICA, INC.
CRD#: 169180 / SEC#: 801-131800
RIA
Registered Investment Advisory firm - (1/21/2025 Approved)Florida
Registered Investment Advisory firm - (8/20/2025 Terminated)New Jersey
Registered Investment Advisory firm - (2/11/2025 Terminated)New York
Registered Investment Advisory firm - (2/11/2025 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Florida(12/17/2013)
RR
Florida(6/6/2025)
IAR
New Jersey(11/15/2019)
IAR
New York(5/18/2025)
RR
New York(6/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RI
RUGGIERO INVESTMENTS
ESTATE PLANZ | THOMAS ANTHONY RUGGIERO | RUGGIERO, THOMAS | RUGGIERO INVESTMENTS, INC. | RUGGIERO INVESTMENTS | RETIREMENT SERVICES OF AMERICA, INC.
CRD#: 169180 / SEC#: 801-131800
RIA
Registered Investment Advisory firm - (1/21/2025 Approved)Florida
Registered Investment Advisory firm - (8/20/2025 Terminated)New Jersey
Registered Investment Advisory firm - (2/11/2025 Terminated)New York
Registered Investment Advisory firm - (2/11/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 S. Austrailian Avenue Suite 608, West Palm Beach, FL 33401
Mailing Address
516 S. Dixie Highway Suite 326, West Palm Beach, FL 33401
Phone number
(800) 777-4726
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 742 |
| AUM (Assets Under Management) | $ 114,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
