Philip Ruggeri, financial advisor Saint Clair Shores MI
83 score

Philip Ruggeri

CRD Number: 2977456
Current Firm: Lpl Financial LLC

Philip Ruggeri (CRD# 2977456) is an Investment Advisor Representative working at Lpl Financial LLC in Saint Clair Shores, MI and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial LLC St. Clair Shores, MI Jan 2016 - Current < 1
First State Bank St Clair Shores, MI Aug 1985 - Current 31
Cetera Investment Advisers LLC St Clair Shores, MI Jan 2014 - Jan 2016 2
Cetera Investment Services St Clair Shores, MI Nov 1997 - Jan 2016 18
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1997
S66 NASAA Uniform Combined State Law Examination Mar 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Philip J. Ruggeri
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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