Christopher T. Ruggiero

Christopher T. Ruggiero

Managing Partner

Christopher  T. Ruggiero has built a career of helping clients plan for the future by achieving their financial goals. With almost 20 years of experience in the financial service industry, he has worked in Fortune 500 Companies such as J.P. Morgan Chase, Capital One, and TD Ameritrade as well as the large independent broker dealers.

Mr. Ruggiero has served in multiple roles including regional supervisor, municipal bond principal, structured product principal, bank officer, and financial advisor.

Throughout his career, he has made it his mission to ensure that his clients are always put first and that all the investment advice he promulgates is in the best interest of the client. When speaking about what is most important in meeting with clients concerning their financial plans, he emphasizes; “The planning phase is the most important time spent with a client. We need to not only understand the client’s financial profile, but we need to understand their goals, needs, wants, desires, and everything else that is relevant in their personal life. When this is accomplished, we create a road map for success.”

Christopher graduated from Empire State College, State University of New York with a Bachelor of Professional Studies and maintains multiple securities licenses within the financial industry. 

 

General Industry/ Products Exams Passed:

  • Series 7 General Securities Representative Examination
  • Series 87 Research Analyst Exam - Part II Regulations Module

State Securities Law Exam

  • Series 63 Uniform Securities Agent State Law Examination
  • Series 65 Uniform Investment Adviser Law Examination

Principal/Supervisory Exam

  • Series 4  Registered Options Principal Examination 
  • Series 24 General Securities Principal Examination
  • Series 27 Financial and Operations Principal Examination
  • Series 53 Municipal Securities Principal Examination

State Insurance License 

  • New York State Health, Life, Annuity Insurance License