Christopher Thomas Ruggiero

Employer firm

Ruggiero Investments CRD 169180

$138M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2017 → 09/2018
  National Securities Corporation
  New York, NY
• 01/2017 → 09/2018
  National Asset Management
  New York, NY
• 09/2016 → 12/2016
  Unemployed
  Farmingville, NY
• 03/2019 → 12/2019
  Retirement Services Of America
  Melbourne, FL
• 09/2018 → 03/2019
  Unemployed
  New York, NY
• 07/2020 → 05/2023
  Sw Financial
  Melville, NY
• 02/2025 → Present
  Ruggiero Consulting, Llc
  Port Jefferson, NY
• 04/2025 → Present
  Finalis Securities Llc
  New York, NY
• 03/2019 → Present
  Ruggiero Investments Inc
  New York, NY

Previous Registrations

• 2017-01-05 → 2018-10-03
  B. Riley Wealth Advisors, Inc.
  New York, NY
  New York, NY
• 2015-01-28 → 2016-08-16
  Capital One Advisors, Llc
  Seattle, WA
• 2013-10-29 → 2015-01-28
  Capital One Financial Advisors Llc
  Melville, NY
  Melville, NY
• 2012-08-27 → 2013-10-30
  Harrisdirect Llc
  Arlington, VA
• 2010-10-26 → 2012-08-21
  Td Ameritrade, Inc.
  Huntington Station, NY
• 2010-10-26 → 2012-08-21
  Td Ameritrade Investment Management, Llc
  Melville, NY
• 2010-04-28 → 2010-10-05
  Woodstock Financial Group, Inc.
  Farmingdale, NY
  Woodstock, GA
  Woodstock, GA
• 2010-01-08 → 2010-04-08
  Chase Investment Services Corp.
  Lake Ronkonkoma, NY
  Valley Stream, NY
  Valley Stream, NY
  Elmont, NY
  Huntington Station, NY
  Bellmore, NY

Other Businesses

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) 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. 9)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. 10) Reliable Accountants, LLC; non-investment related; Address: 34-25 28th Ave, Astoria, NY, 11103; Nature: Accounting Practice; Position: Owner; Start -date: 10/30/2025; 5 hours per month; 1 hour during trading session; Duties: We are partnered with accountants and will provide book-keeping, profit/ loss, balance sheet, and taxes. 11) Accounting 4me, LLC; non-investment related; 555 Broadhollow Rd Ste 274, Melville, NY, 11747, USA; Accounting Firm; Employee of Accounting 4me, LLC company owned by Ruggiero, LLC; 03/24/2026; 5;2; Accounting Practice. 12) Gracyn Maddox Designs, LLC; Design Company; kitchen/bathroom , Non Investment Related; 0 hrs during market hours. 13 ) 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 during market hours. Hrs

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-12-28
• S63 Uniform Securities Agent State Law Examination
  2003-02-22

Other Names

• Christopher Thomas Ruggiero