Andrea M. Del Galdo

LPL FINANCIAL LLC

PHOENIX, AZ

Some features on this profile are disabled

CRD#: 1106698

Professional summary

Andrea Maria Del Galdo, who also goes by Andrea Maria Delgaldo, Andrea M Del Galdo, Andrea Maria Del Galdo, Andrea Del Galdo, is a registered financial professional currently at LPL FINANCIAL LLC located in Phoenix, Arizona and LPL ENTERPRISE, LLC located in Fort Mill, South Carolina.

Andrea is registered as a RR (Registered Representative) and started their career in finance in 1983. Andrea has worked at 15 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrea Maria Delgaldo | Andrea M Del Galdo | Andrea Maria Del Galdo | Andrea Del Galdo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrea Maria Del Galdo's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 28, 2020 - Present

LPL FINANCIAL LLC

RIA

CRD#: 6413

PHOENIX, AZ

Current

September 12, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1055 Lpl Way, Fort Mill, SC 29715

RIA

CRD#: 8733

Fort Mill, SC

Past

July 18, 2019 - May 18, 2020

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

March 20, 2019 - May 18, 2020

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

March 20, 2019 - May 18, 2020

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 14, 2019 - May 18, 2020

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

November 8, 2017 - February 22, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PHOENIX, AZ

Past

May 21, 2008 - August 11, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

August 21, 2006 - May 20, 2008

OSAIC SERVICES, INC.

CRD#: 133763

PHOENIX, AZ

Past

June 6, 2006 - August 21, 2006

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

SCOTTSDALE, AZ

Past

October 24, 2005 - May 22, 2006

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

PHOENIX, AZ

Past

April 25, 2003 - June 9, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

February 17, 1999 - March 17, 2003

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

November 24, 1987 - December 12, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 7, 1987 - August 29, 1987

KLEINWORT BENSON NORTH AMERICA INC.

CRD#: 5087

Past

July 31, 1985 - December 10, 1986

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

July 20, 1983 - March 15, 1985

RUSSELL & CO

CRD#: 10264

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/28/2020)

South Carolina
(11/27/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/15/2019

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/1/2006

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrea M. Del Galdo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrea Maria Del Galdo's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

FSC SECURITIES CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

CHARLES SCHWAB & CO., INC.

OSAIC SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

ADVISORS ASSET MANAGEMENT, INC.

CHARLES SCHWAB & CO., INC.

VOYA INVESTMENTS DISTRIBUTOR, LLC

MORGAN STANLEY DW INC.

KLEINWORT BENSON NORTH AMERICA INC.

UBS FINANCIAL SERVICES INC.

RUSSELL & CO

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/1999

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1999

Series 24

Date: 7/15/2019

Series 53

Date: 11/1/2006

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

Similar Advisors