CR
Christopher T. Ruggiero
RUGGIERO INVESTMENTS
Melbourne, FL 32940
Some features on this profile are disabled
CRD#: 4577306
CR
Professional summary
Christopher Thomas Ruggiero, who also goes by Christopher Thomas Ruggiero, is a registered financial advisor currently at RUGGIERO INVESTMENTS located in Melbourne, Florida and FINALIS SECURITIES LLC located in New York, New York.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Christopher has worked at 17 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 87, Series 7, Series 27, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Thomas Ruggiero
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; Executive V.P. Started 3/2019 Registered Investment Advisor (RIA) - Investment Related. Compensation: Fee Based on AUM; Role: Executive V.P. & CCO Approximate 130 hr Month during Market hours. Address: 407 E Main St. Suite 3 Port Jefferson, NY 11777 2)Ruggiero Insurance Agency, LLC; Authorized Representative, started: 10/2019; Executive V.P.; 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; Executive V.P; Engaged in providing Group Benefits to companies. Approximate 5 hrs Month to Insurance business 3 hrs during market hrs 4) Ruggiero Consulting, LLC; Authorized Representative, started: 3/2025 / Associated with Finalis Securities and market Finalis business under the name Ruggiero Consulting/ Ruggiero Consulting, LLC. Operates business during Market hours. 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) TRFDO Management Group, Inc.; Owner & Started: 9/2013 President; Non-Investment Related. Entertainment Business; Acting Auditions, etc. Approximate 0 hrs Month to business 1 hrs during market hours. 7) Three Lions Corporation.; Owner & Started: 6/2010; Non-Investment Related; Parent Company to hold future real estate holdings. Approximate 1 hrs Month to business 0 hrs during market hours. 8) Agency - TBD; Real Estate Florida; Started: 10/2023. Licensed Real Estate Agent; Non-Investment Related Approximate 5 hrs Month to business 3 hrs during market hours. 9) Frontline Real Estate New York; Started: 1/2024; Licensed Real Estate Agent; Non-Investment Related Approximate 5 hrs Month to business 3 hrs during market hours. 10)Avanti Way Realty Investment; non-investment related; Address: 8400 NW 33rd St Suite 104 Doral FL 33122; Nature: Real Estate Agency; Position: Licensed Realtor Associate; Start Date: 09/02/2025; 7 hours per month; 2 hours during trading session; Duties: help buyers and sellers in real estate. find real estate opportunities and match the buyers and sellers.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Thomas 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
April 9, 2019 - 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
April 24, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003BD
CRD#: 305908
New York, NY
Past
July 16, 2020 - May 11, 2023
SW FINANCIAL
BD
CRD#: 145012
MELVILLE, NY
Past
January 5, 2017 - October 3, 2018
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
NEW YORK, NY
Past
January 3, 2017 - October 3, 2018
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
January 28, 2015 - August 16, 2016
CAPITAL ONE ADVISORS, LLC
RIA
CRD#: 136865
SEATTLE, WA
Past
January 2, 2015 - August 16, 2016
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
MELVILLE, NY
Past
October 29, 2013 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
RIA
CRD#: 127236
MELVILLE, NY
Past
October 28, 2013 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
NEW YORK, NY
Past
August 27, 2012 - October 30, 2013
HARRISDIRECT LLC
RIA
CRD#: 42159
ARLINGTON, VA
Past
August 27, 2012 - October 30, 2013
E*TRADE SECURITIES LLC
BD
CRD#: 29106
GARDEN CITY, NY
Past
October 26, 2010 - August 21, 2012
TD AMERITRADE, INC.
RIA
CRD#: 7870
MELVILLE, NY
Past
October 26, 2010 - August 21, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
MELVILLE, NY
Past
October 26, 2010 - August 21, 2012
TD AMERITRADE, INC.
BD
CRD#: 7870
MELVILLE, NY
Past
April 28, 2010 - October 5, 2010
WOODSTOCK FINANCIAL GROUP, INC.
RIA
CRD#: 38095
FARMINGDALE, NY
Past
April 28, 2010 - October 5, 2010
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
FARMINGDALE, NY
Past
January 8, 2010 - April 8, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
BELLMORE, NY
Past
December 8, 2005 - April 8, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BELLMORE, NY
Past
April 29, 2004 - April 20, 2005
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
February 10, 2003 - April 27, 2004
HARRISON SECURITIES, INC.
BD
CRD#: 14103
PORT WASHINGTON, NY
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(4/9/2019)
RR
Florida(4/25/2025)
IAR
New Jersey(11/15/2019)
RR
New Jersey(4/25/2025)
RR
New York(5/1/2025)
IAR
New York(5/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
