RUGGIERO INVESTMENTS, INC. of WEST PALM BEACH, FL is an SEC-registered investment adviser (CRD 169180). Regulatory assets under management: $137.6M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions.
| Name | Role | Location |
|---|---|---|
| Thomas Anthony Ruggiero | CEO | — |
| Thomas Wesley Ruggiero | PRESIDENT | — |
| Christopher Thomas Ruggiero | CHIEF COMPLIANCE OFFICER AND EXECUTIVE VICE PRESIDENT | — |
| RUGGIERO STEVEN ANTHONY | CEO & CHIEF COMPLIANCE OFFICER | — |
| RUGGIERO THOMAS WESLEY | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-08-13 | regulatory | ON MARCH 1, 2023, THE FIRM WAS SENT A DEFICIENCY LETTER FROM THE STATE OF FLORIDA REGARDING AN IAR WITH PENDING REGISTRATION IN THE STATE. AS THE FIRM DIDN'T SEE THE EMAIL FROM THE STATE OR RECEIVE A HARD COPY LETTER THAT TYPICALLY WOULD FOLLOW AN EMAIL, A RESPONSE WAS NOT SENT TO THE STATE. THUS, T… | Final | $8K |
| City | State | Employees | Phone |
|---|---|---|---|
| FT. LAUDERDALE | FL | 3 | 800-777-4726 |
| FT. LAUDERDALE | FL | 3 | 800-777-4726 |
| PORT ST. LUCIE | FL | 2 | (800) 777-4726 |
| PORT ST. LUCIE | FL | 2 | (800) 777-4726 |
| MELBOURNE | FL | 2 | 321-745-1802 |
| MELBOURNE | FL | 2 | 321-745-1802 |
| PORT JEFFERSON | NY | 1 | (917) 902-3392 |
| PORT JEFFERSON | NY | 1 | (917) 902-3392 |