Thomas Ruggiero is a registered investment advisor, based in Ft. Lauderdale, FL, with 10 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold.
Location
300 SE 2nd St Suite 600, Office # 27, Ft. Lauderdale, FL, 33301
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas is the President of Ruggiero Investments (RIA) and several other entities including Ruggiero Insurance Agency, Ruggiero Group Benefits Agency, and Ruggiero Consulting. He also focuses on succession planning for financial advisors, insurance agents, and CPAs, and is a registered representative of Finalis Securities, LLC.
Employment History
Current Registrations
Finalis Securities LLC
Finalis Securities LLCBroker
Ruggiero Investments
Previous Registrations
Calton & Associates, INC.Broker
Dominion Investor Services, INC.Broker
Newport Coast Securities, INC.Broker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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