Thomas Ruggiero has been CEO of Ruggiero Investments since August 2013, is a control person of the firm and directly owns between 50% and 75% of it. Thomas Ruggiero studied at Farmingdale State University.
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.
Thomas A. Ruggiero is Founder and CEO of Ruggiero Investments. He has over 30 years of experience in the financial industry, including senior executive positions within Fortune 500 companies that include JP Morgan Chase, Citigroup, Citibank and HSBC. He was responsible for a Fortune 500 bank investment program, including managing more than 1,100 financial advisors.
Thomas Ruggiero’s longest registration is the current one, 12 years at Ruggiero Investments since 2013. Before joining Ruggiero Investments in 2013, Thomas Ruggiero was registered through Sterne Agee Investment Advisors, Inc. and Jesup & Lamont Advisors.
- Sterne Agee Investment Advisors, Inc.– · 2 yearsCocoa Beach, FL · Adviser representative · Firm CRD 130888
- Jesup & Lamont Advisors– · under a yearIndialantic, FL · Adviser representative · Firm CRD 108006
- Chase Investment Services Corp.– · 2 yearsPalm Beach, FL · Adviser representative · Firm CRD 25574
- Suntrust Investment Services, Inc.– · under a yearVenice, FL · Adviser representative · Firm CRD 17499
Investment adviser representative registrations
Thomas Ruggiero is registered as an investment adviser representative in 3 states. The first approvals date from December 2013; the most recent is New York, in May 2025.
- FloridaSince 17 December 2013
- New JerseySince 15 November 2019
- New YorkSince 18 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 17 November 2007 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 16 October 2003 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 30 September 2003 |
| Series 24 | General Securities Principal Examination | 19 May 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 November 1986 |
| Series 7 | General Securities Representative Examination | 20 September 1986 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Anthony Ruggiero
- CRD
- 1525862
- Firm
- Ruggiero Investments · CRD 169180
- Role
- CEO
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 1992
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- ruggieroinvestments.com
Where does Thomas Ruggiero work?
Thomas Ruggiero has been CEO of Ruggiero Investments, Inc. since August 2013, and is a control person of the firm.
Is Thomas Ruggiero a financial advisor?
Yes. Thomas Ruggiero has a current investment-adviser registration in Florida, New Jersey and New York, through Ruggiero Investments since December 2013.
How many years of experience does Thomas Ruggiero have?
Thomas Ruggiero has 34 years in the financial industry, since June 1992, across 5 adviser firms.
What exams has Thomas Ruggiero passed?
Thomas Ruggiero has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 9, Series 10 and Series 66. The earliest, the Series 7, was passed in September 1986. FINRA credited Thomas Ruggiero with the SIE, which began in October 2018.
Where did Thomas Ruggiero work before Ruggiero Investments?
Before Ruggiero Investments, Thomas Ruggiero was registered through Sterne Agee Investment Advisors, Inc., October 2010 to August 2013; Jesup & Lamont Advisors, May 2010 to July 2010; Chase Investment Services Corp., January 2008 to February 2010; Suntrust Investment Services, Inc., November 2007 to January 2008.
Is Thomas Ruggiero registered with FINRA?
Yes. Thomas Ruggiero has a current broker registration, under CRD 1525862.
Source: FINRA BrokerCheck
How can I verify Thomas Ruggiero’s record?
Search CRD 1525862 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Thomas Ruggiero’s full registration record.
