Alexander John Ruggieri
Professional Summary
Alexander John Ruggieri, who also goes by Alexander John Ruggieri Jr, is a registered financial advisor currently at DAI SECURITIES, LLC located in Schaumburg, Illinois. Alexander is registered as a RR (Registered Representative) and started their career in finance in 2020. Alexander has worked at 2 firms and has passed the Series 63, Series 22TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alexander John Ruggieri Jr
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
7 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
DAI SECURITIES, LLC | LEWIS FINANCIAL GROUP, L.C.
Contact Information
Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345Mailing Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345Phone Number
(404) 531-7080Established
Minnesota since 05/31/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(11/27/2024)
(9/12/2024)
(4/16/2024)
(5/29/2026)
(4/16/2024)
(3/4/2026)
(4/16/2024)
(11/27/2024)
(3/4/2026)
(2/12/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed May 2020About the Series 22TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Alexander John Ruggieri's CRS (Customer Relationship Summary).
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