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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 San Juan Capistrano, California.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Thomas Ruggiero's CRS (Customer Relationship Summary).
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®
None

Experience

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 33401
RIA
CRD#: 169180
Melbourne, FL
Current

April 24, 2025 - Present

FINALIS SECURITIES LLC

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
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
IAR
Series 65
Date: 12/28/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/22/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 8/30/2018
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 2/7/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/21/2018
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/24/2016
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/30/2015
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/19/2010
General Securities Principal Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RUGGIERO ADV FIRM BROCHURE PART 2A (11/11/2025)

Regulatory assets under management

Total Number of Accounts742
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.

Company Information

RUGGIERO INVESTMENTS

CRD#: 169180Melbourne, FL 32940

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