TR
Thomas W. Ruggiero
RUGGIERO INVESTMENTS
Melbourne, FL 32940
Some features on this profile are disabled
CRD#: 6582501
TR
Professional summary
Thomas Wesley Ruggiero, who also goes by Thomas W 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 2016. Thomas has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas W 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; President 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; President; 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; President; 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 / Role: Registered Representative Associated with Finalis Securities and market Finalis business under the name Ruggiero Consulting/ Ruggiero Consulting, LLC. Offers Lending and Equity through Private Securities and Lender. 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) 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. 7) Registered representative of Finalis Securities, LLC, started 5/25
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Wesley 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
November 24, 2015 - 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
May 13, 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
January 15, 2016 - August 2, 2016
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
NEW YORK, 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(11/24/2015)
RR
Florida(5/13/2025)
IAR
New Jersey(11/15/2019)
RR
New Jersey(5/13/2025)
RR
New York(5/13/2025)
IAR
New York(5/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
