Christopher Ruggiero has been Chief Compliance Officer and Executive Vice President of Ruggiero Investments since December 2024, is not listed as a control person, but directly owns under 5% of the firm. Christopher Ruggiero holds a Bachelor of Professional Studies from Empire State College, State University of New York.
Ruggiero Investments, Inc. is a West Palm Beach, FL firm with $138M under management, 399 clients and 4 advisers across 5 offices, as of its March 2026 filing.
Christopher T. Ruggiero is Executive Vice President of Ruggiero Investments. He has almost 20 years of experience in the financial service industry, including work at J.P. Morgan Chase, Capital One and TD Ameritrade and at large independent broker dealers. He has served in multiple roles, including regional supervisor, municipal bond principal, structured product principal, bank officer and financial advisor.
Christopher Ruggiero’s longest registration is the current one, 7 years at Ruggiero Investments since 2019. Before joining Ruggiero Investments in 2019, Christopher Ruggiero was registered through National Asset Management, Inc. and Capital One Advisors, LLC.
- National Asset Management, Inc.– · 1 yearNew York, NY · Adviser representative · Firm CRD 115927
- Capital One Advisors, LLC– · 1 yearSeattle, WA · Adviser representative · Firm CRD 136865
- Capital One Financial Advisors LLC– · 1 yearMelville, NY · Adviser representative · Firm CRD 127236
- E*trade Capital Management, LLC– · 1 yearArlington, VA · Adviser representative · Firm CRD 42159
- Amerivest Investment Management, LLC– · 1 yearMelville, NY · Adviser representative · Firm CRD 111514
- TD Ameritrade, Inc.– · 1 yearMelville, NY · Adviser representative · Firm CRD 7870
- Woodstock Financial Group, Inc.– · under a yearFarmingdale, NY · Adviser representative · Firm CRD 38095
- Chase Investment Services Corp.– · under a yearBellmore, NY · Adviser representative · Firm CRD 25574
Investment adviser representative registrations
Christopher Ruggiero is registered as an investment adviser representative in 3 states. The first approvals date from April 2019; the most recent is New York, in May 2025.
- FloridaSince 9 April 2019
- New JerseySince 15 November 2019
- New YorkSince 18 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 30 August 2018 |
| Series 27 | Financial and Operations Principal Examination | 21 June 2018 |
| Series 4 | Registered Options Principal Examination | 24 March 2016 |
| Series 53 | Municipal Securities Principal Examination | 30 December 2015 |
| Series 24 | General Securities Principal Examination | 19 August 2010 |
| Series 65 | Uniform Investment Adviser Law Examination | 28 December 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 February 2003 |
| Series 7 | General Securities Representative Examination | 7 February 2003 |
- Name
- Operations Professional Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- Financial and Operations Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Christopher Thomas Ruggiero
- CRD
- 4577306
- Firm
- Ruggiero Investments · CRD 169180
- Role
- Chief Compliance Officer and Executive Vice President
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 2004
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- ruggieroinvestments.com
Where does Christopher Ruggiero work?
Christopher Ruggiero has been Chief Compliance Officer and Executive Vice President of Ruggiero Investments, Inc. since December 2024.
Is Christopher Ruggiero a financial advisor?
Yes. Christopher Ruggiero has a current investment-adviser registration in Florida, New Jersey and New York, through Ruggiero Investments since April 2019.
How many years of experience does Christopher Ruggiero have?
Christopher Ruggiero has 22 years in the financial industry, since October 2004, across 9 adviser firms.
What exams has Christopher Ruggiero passed?
Christopher Ruggiero has passed 10 licensing exams: the Series 7, Series 63, Series 65, Series 24, Series 53, Series 4, Series 27, Series 87, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in February 2003. FINRA credited Christopher Ruggiero with the SIE, which began in October 2018.
Where did Christopher Ruggiero work before Ruggiero Investments?
Before Ruggiero Investments, Christopher Ruggiero was registered through National Asset Management, Inc., January 2017 to October 2018; Capital One Advisors, LLC, January 2015 to August 2016; Capital One Financial Advisors LLC, October 2013 to January 2015; E*trade Capital Management, LLC, August 2012 to October 2013; Amerivest Investment Management, LLC, October 2010 to August 2012; TD Ameritrade, Inc., October 2010 to August 2012; Woodstock Financial Group, Inc., April 2010 to October 2010; Chase Investment Services Corp., January 2010 to April 2010.
Is Christopher Ruggiero registered with FINRA?
Yes. Christopher Ruggiero has a current broker registration, under CRD 4577306.
Source: FINRA BrokerCheck
How can I verify Christopher Ruggiero’s record?
Search CRD 4577306 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Christopher Ruggiero’s full registration record.
