Thomas Ruggiero has been President of Ruggiero Investments since December 2019, is a control person of the firm and directly owns between 50% and 75% of it. Thomas Ruggiero holds a BA in Business Administration from Metropolitan College 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.
Thomas W. Ruggiero is President of Ruggiero Investments. After an extensive career in the aeronautical industry, he moved into the financial services industry. He helps clients plan for retirement and be financially prepared for life's unexpected events.
Professional designations
Listed by Ruggiero Investments
- Chartered Retirement Plans Specialist (CRPS®)
Investment adviser representative registrations
Thomas Ruggiero is registered as an investment adviser representative in 3 states. The first approvals date from November 2015; the most recent is New York, in May 2025.
- FloridaSince 24 November 2015
- New JerseySince 15 November 2019
- New YorkSince 18 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 29 January 2016 |
| Series 7 | General Securities Representative Examination | 15 January 2016 |
| Series 65 | Uniform Investment Adviser Law Examination | 3 November 2015 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Thomas Wesley Ruggiero
- CRD
- 6582501
- Firm
- Ruggiero Investments · CRD 169180
- Role
- President
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2015
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- ruggieroinvestments.com
Where does Thomas Ruggiero work?
Thomas Ruggiero has been President of Ruggiero Investments, Inc. since December 2019, 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 November 2015.
How many years of experience does Thomas Ruggiero have?
Thomas Ruggiero has 10 years in the financial industry, since November 2015, across 1 adviser firm.
What exams has Thomas Ruggiero passed?
Thomas Ruggiero has passed 3 licensing exams: the Series 65, Series 7 and Series 63. The earliest, the Series 65, was passed in November 2015. FINRA credited Thomas Ruggiero with the SIE, which began in October 2018.
Is Thomas Ruggiero registered with FINRA?
Yes. Thomas Ruggiero has a current broker registration, under CRD 6582501.
Source: FINRA BrokerCheck
How can I verify Thomas Ruggiero’s record?
Search CRD 6582501 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.
