Christopher Ruspi has been Managing Member & Chief Compliance Officer of Alliance of Wealth Advisors since May 2012, is a control person of the firm and directly owns 75% or more of it. Christopher Ruspi studied at American University and Johns Hopkins University.
Alliance of Wealth Advisors, LLC is a Rapid City, SD firm with $130M under management, 152 clients and 1 adviser in one office, as of its March 2026 filing.
Christopher Ruspi is a financial planner with Applied Financial Wisdom, based in Rapid City, South Dakota. He has 36 years of experience in the financial services industry and has been licensed for full securities business, municipal securities business, and more for over twenty years.
Christopher Ruspi’s longest registration is the current one, 14 years at Alliance of Wealth Advisors since 2012. Before joining Alliance of Wealth Advisors in 2012, Christopher Ruspi was registered through Research Financial Strategies and Raymond James Financial Services Advisors, Inc.
- Applied Financial WisdomCurrent– present · 14 yearsNew Market, MD · Adviser representative · Firm CRD 164428
- Research Financial Strategies– · under a yearHighland, MD · Adviser representative · Firm CRD 153247
- Raymond James Financial Services Advisors, Inc– · 2 yearsHighland, MD · Adviser representative · Firm CRD 149018
- Raymond James Financial Services– · 9 yearsHighland, MD · Adviser representative · Firm CRD 6694
Professional designations
Listed by Alliance of Wealth Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Chartered Market Technician (CMT)
Investment adviser representative registrations
Christopher Ruspi is registered as an investment adviser representative in 8 states. The first approvals date from June 2012; the most recent is South Dakota, in April 2026.
- FloridaSince 11 May 2023
- KansasSince 24 August 2023
- MarylandSince 20 June 2012
- PennsylvaniaSince 13 October 2023
- South DakotaSince 27 April 2026
- TexasSince 8 July 2019
- VirginiaSince 3 August 2012
- West VirginiaSince 10 January 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 26 September 2003 |
| Series 53 | Municipal Securities Principal Examination | 5 October 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 5 July 1996 |
| Series 4 | Registered Options Principal Examination | 2 June 1992 |
| Series 24 | General Securities Principal Examination | 26 March 1991 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 March 1989 |
| Series 7 | General Securities Representative Examination | 18 March 1989 |
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Christopher Michael Ruspi
- CRD
- 1934561
- Firm
- Alliance of Wealth Advisors · CRD 164428
- Role
- Managing Member & Chief Compliance Officer
- Office
- New Market, MD
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1989
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- appliedfinancialwisdom.com
Where does Christopher Ruspi work?
Christopher Ruspi has been Managing Member & Chief Compliance Officer of Alliance of Wealth Advisors, LLC since May 2012, and is a control person of the firm.
Is Christopher Ruspi a financial advisor?
Yes. Christopher Ruspi has a current investment-adviser registration in Florida, Kansas, Maryland, Pennsylvania, South Dakota, Texas, Virginia and West Virginia, through Alliance of Wealth Advisors since June 2012.
How many years of experience does Christopher Ruspi have?
Christopher Ruspi has 37 years in the financial industry, since March 1989, across 4 adviser firms.
What exams has Christopher Ruspi passed?
Christopher Ruspi has passed 8 licensing exams: the Series 7, Series 63, Series 24, Series 4, Series 65, Series 53, Series 3 and Series 52TO. The earliest, the Series 7, was passed in March 1989. FINRA credited Christopher Ruspi with the SIE, which began in October 2018.
Where did Christopher Ruspi work before Alliance of Wealth Advisors?
Before Alliance of Wealth Advisors, Christopher Ruspi was registered through Raymond James Financial Services Advisors, Inc, January 2009 to December 2011; Raymond James Financial Services, March 1999 to January 2009.
Where is Christopher Ruspi based?
Christopher Ruspi’s registered office is in New Market, MD.
Is Christopher Ruspi registered with FINRA?
Yes. Christopher Ruspi has a current broker registration, under CRD 1934561.
Source: FINRA BrokerCheck
Is Christopher Ruspi a CFP?
Alliance of Wealth Advisors lists Christopher Ruspi with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Christopher Ruspi biography, appliedfinancialwisdom.com
How can I verify Christopher Ruspi’s record?
Search CRD 1934561 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Christopher Ruspi’s full registration record.