John M. Brueggeman, CMFC
Senior Managing Director / Principal / Portfolio Manager
John M. Brueggeman grew up in Cincinnati, OH and attended Archbishop Moeller High School before graduating from Xavier University with a Bachelor of Science in Business Administration in 1992. Starting a small construction business employing up to six employees to help pay for college ignited the entrepreneurial spirit which eventually led to him being named one of the Top Ten Student Entrepreneurs of the Year at Xavier University. He was also named the winner of the prestigious E.F. Castleberry Prize for Outstanding Business Planning in 1992 at Xavier as well.
Graduating on the Dean’s List with a double major in Entrepreneurship and Marketing and a minor in Philosophy, his focus of study was in small business venture creation and development, finance, economics, management, and marketing. Various internships during college, and consulting work after graduation exposed him to many industries and career paths, but investment management and wealth planning became the chosen one.
After graduation from Xavier University, and some time spent traveling the world, Mr. Brueggeman went to work in 1993 for Fidelity Investments in Cincinnati as a Brokerage Trader earning the Series 7 and Series 63 Securities Licenses. Next, he moved to Gradison-McDonald Investments in downtown Cincinnati for the next five years where he was integral in expanding the marketing services of the Gradison-McDonald Mutual Fund family, and the creation of an internal sales/mutual fund wholesaler desk for the mutual fund division. During this time, Mr. Brueggeman earned the respected designation Chartered Mutual Fund Counselor (CMFC) and also became licensed and appointed with the state of Ohio in Accident and Health, Life, and Variable Annuity insurance products.
With a desire to become an investment advisor and build a client base, Mr. Brueggeman joined UBS PaineWebber in 1997 and spent considerable time in New York City at the UBS PaineWebber Advisor Training Program. He later relocated to Morgan Stanley where he continued to grow his practice and earned the Morgan Stanley “Retirement Planning Specialist” and “Estate Planning Specialist” designations.
Wanting to be more of a consultative wealth advisor, Mr. Brueggeman decided to leave the major wirehouse arena, and joined LPL Financial in 2004, the largest independent broker/dealer * in the country. The main office was established in Blue Ash, Ohio. He has previously been a featured presenter at Miami University’s E.X.C.E.L. Entrepreneurship Training Program, Hamilton County Small Business Development Center seminars, and Clermont County Chamber of Commerce Small Business Development Center seminars, among others. Mr. Brueggeman is a Series 24 Registered Principal, and Series 65 Investment Advisor Representative with LPL Financial. He has been named one of the top Cincinnati's Five-Star Wealth Managers** for 2012, 2013, 2014, 2015, 2016, and 2017, an honor given to less than five percent of all wealth advisors. He is currently studying for the R.I.C.P. designation (Retirement Income Certified Professional) which focuses on extensive strategies for creating retirement income.
Mr. Brueggeman is a lifelong resident of Cincinnati who currently resides in Symmes Township with his wife and two daughters. He spends his free time reading, playing golf, traveling, volunteering at All Saints Parish in Montgomery, and watching his two daughters blossom.
Viceroy Wealth Counsel was created to be an independent, boutique wealth management and planning firm utilizing the resources and strength of LPL Financials back office functionality, compliance, and trading platforms. Viceroy strives to cut thru all of the noise in today’s investing environment and offer the best in professional investment counsel and services.
Viceroy Wealth Counsel Partner, John M. Brueggeman, with over 26 year’s experience, provides wealth counsel to individuals and businesses with a focus on the client relationship, risk management, professional financial planning strategies, and life-cycle needs.
* As reported by Financial Planning Magazine, June 1996-2017, based on total revenues.
** Award based on 10 objective criteria associated with providing quality services to clients such as credentials, experience, and assets under management among other factors. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers.