Dale R. Aldieri
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CRD#: 1230340
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dale Robert Aldieri, CFP® was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1984. Dale had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
ALDIERI FINANCIAL SERVICES, LLC
386 MAIN STREET
MIDDLETOWN, CT 06457
THE BUSINESS IS INVESTMENT RELATED.
THE NATURE OF THE BUSINESS IS TAX RETURNS PREPARATION AND ACCOUNTING SERVICES TO THE GENERAL PUBLIC.
POSITION: PRESIDENT, 100% OWNER, FINANCIAL PLANNER
START DATE OF RELATIONSHIP: 11/1/2005
APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO THE OUTSIDE BUSINESS: 215
NUMBER OF HOURS DEVOTED TO THE OUTSIDE BUSINESS DURING SECURITIES TRADING HOURS: 6.5 PER DAY
DUTIES: AS A CERTIFIED FINANCIAL PLANNER SINCE 1985, HE HAS INCLUDED VARIOUS FORMS OF FINANCIAL PLANNING FOR THE INVESTMENT CLIENTS. MORE SPECIFICALLY, THE WEALTH TRANSFER AND ASSET PROTECTION ELEMENTS OF A FULL FINANCIAL PLAN FOR CLIENTS.
Trustee - St. Pius Roman Catholic Church located at 310 Westfield St. Middletown, CT 06457. Not investment-related. Start date, 2006. 5 hours per month, serve as counsel to the pastor (not in legal sense), no check writing authority.
Chairman - Water Pollution Control Authority, Middletown, CT. Not investment related. Start date 2010, 8 hours per month, chair meeting monthly, serve as informal counsel to Director, no check writing authority.
Secretary - Italian Society of Middletown located at 72 Court St. Middletown, CT 06457, not investment related, start date 2008, 2 hours per week, take minutes at meetings, handle all incoming and outgoing correspondence, have check writing authority - 2 signatures are required.
Intuit - Accountant Expert, Employee- 2700 Coast Ave. Mountain View, CA 94043 800-446-8848 www.intuit.com Remotely assist Intuit clients in setting up, cleaning up and ongoing review of Quickbooks online software. Clients are not affiliated with any securities or advisory business. Not investment related, 80 hours per month spent on this OBA, 20 securities trading hours per month spent on this OBA, approximately $30,000 annual compensation for this business.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1985
Experience
Past
April 25, 2019 - January 2, 2024
THE PATRIOT FINANCIAL GROUP, LLC
RIA
CRD#: 172470
Middletown, CT
Past
February 1, 2007 - December 31, 2018
ALDIERI FINANCIAL SERVICES LLC
RIA
CRD#: 142858
MIDDLETOWN, CT
Past
March 16, 2001 - August 31, 2009
PTS ASSET MANAGEMENT
RIA
CRD#: 111047
WALLINGFORD, CT
Past
April 2, 1997 - December 31, 2006
ITS ASSET MANAGEMENT, L.P.
RIA
CRD#: 106977
WALLINGFORD, CT
Past
August 31, 1995 - May 30, 2007
WADSWORTH INVESTMENT CO., INC.
BD
CRD#: 5844
WALLINGFORD, CT
Past
March 20, 1990 - October 30, 1991
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
September 12, 1987 - December 31, 1989
LIGHTHOUSE SECURITIES, LTD.
BD
CRD#: 16241
HARTFORD, CT
Past
August 13, 1986 - July 15, 1987
FINANCIAL ATTITUDES, INC.
BD
CRD#: 18160
Past
April 27, 1984 - September 22, 1986
WADSWORTH INVESTMENT CO., INC.
BD
CRD#: 5844
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".
TP
THE PATRIOT FINANCIAL GROUP, LLC
603 FINANCIAL ADVISORS, LLC | YAI AND CO. FINANCIAL SERVICES | WAYPOINT WEALTH MANAGEMENT | VISPER WEALTH MANAGEMENT, LLC | UNIFIED LEGACY ADVISORS | TWIN CITY FINANCIAL GROUP | TRIPENSION ASSOCIATES | THE PRIVATE WEALTH MANAGEMENT GROUP | THE PATRIOT GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP, LLC | THE PATRIOT FINANCIAL GROUP OF TEXAS | THE PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP | TAMAGNI ADVISORY GROUP | SUMMIT STAR ADVISORY | STERLING ENDEAVOR WEALTH MANAGEMENT | SPECIAL NEEDS FINANCIAL PLAN, LLC | SCHWARTZ FINANCIAL SERVICES, INC. | RULE FINANCIAL SERVICES | RSD FINANCIAL | ROLLOVER ADVISORY SERVICES | ROLLOVER ADVISORS MA | RIVERSIDE WEALTH MANAGEMENT | RIVERSIDE RETIREMENT ADVISORS, LLC | RIVERSIDE INVESTMENT SERVICES | RETIREMENT INCOME PLANNING ASSOCIATES | RANZIE, ROSEMARIE | PROVO WEALTH MANAGEMENT GROUP | PROVO FINANCIAL SERVICES | PETERKIN ADVISORY SERVICES | PATRIOT RETIREMENT PLAN PARTNERS | PATRIOT PARTNERS SERVICES | NEW ENGLAND RETIREMENT SOLUTIONS, LLC | MERRIMACK VALLEY WEALTH MANAGEMENT | MENT FINANCIAL GROUP | MCLAUGHLIN FINANCIAL CONSULTING | MCGRATH ADVISORS INC | LIGHT WEALTH MANAGEMENT | LEGACY WEALTH MANAGEMENT | JPS FINANCIAL | JOFFREY SMITH FINANCIAL GROUP | IVY WEALTH MANAGEMENT, INC | IVY WEALTH ADVISORS | IVY RETIREMENT SOLUTIONS | IVY FINANCIAL FITNESS | INDUS FINANCIAL | HAYDEN WEALTH MANAGEMENT | GREYHOUND FINANCIAL | GOOD HABITS FINANCIAL | GENERATIONS ADVISORY GROUP | GALLI FINANCIAL GROUP | FLEX FINANCIAL PLANNING | ECHELON PLANNING GROUP | ECHELON FINANCIAL SERVICES | DKH INVESTMENT ADVISORS | DF MURPHY LIFE INSURANCE AGENCY | CREATIVE FINANCIAL SERVICES | CORNER OFFICE FINANCIAL LLC | CORNER OFFICE ADVISORY GROUP | COMPREHENSIVE WEALTH PLANNERS AT DEAN BANK | COMPREHENSIVE WEALTH MANAGEMENT | CLARITY PRIVATE WEALTH | CHILDS FINANCIAL SERVICES | CHANCELLOR WEALTH ADVISORS | CHAMPION FINANCIAL GROUP | CASTLE HILL ADVISORY SERVICES | BW FINANCIAL SERVICES | BROWN & ASSOCIATES WEALTH MANAGEMENT | BOSTON INDEPENDENCE GROUP | BLACK DIAMOND ADVISORY SERVICES LLC | BCA ADVISORY GROUP | BANK GLOUCESTER INVESTMENT ADVISORY SERVICES | BANK GLOUCESTER FINANCIAL SERVICES | B&D ADVISORS | ATLANTIC WEALTH MANAGEMENT | ASCUTNEY FINANCIAL GROUP | ALPHA PARTNERS ADVISORY | ALDER TREE FINANCIAL
CRD#: 172470 / SEC#: 801-80245
RIA
Registered Investment Advisory firm - (9/9/2014 Approved)Rhode Island
Registered Investment Advisory firm - (7/23/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TP
THE PATRIOT FINANCIAL GROUP, LLC
603 FINANCIAL ADVISORS, LLC | YAI AND CO. FINANCIAL SERVICES | WAYPOINT WEALTH MANAGEMENT | VISPER WEALTH MANAGEMENT, LLC | UNIFIED LEGACY ADVISORS | TWIN CITY FINANCIAL GROUP | TRIPENSION ASSOCIATES | THE PRIVATE WEALTH MANAGEMENT GROUP | THE PATRIOT GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP, LLC | THE PATRIOT FINANCIAL GROUP OF TEXAS | THE PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP | TAMAGNI ADVISORY GROUP | SUMMIT STAR ADVISORY | STERLING ENDEAVOR WEALTH MANAGEMENT | SPECIAL NEEDS FINANCIAL PLAN, LLC | SCHWARTZ FINANCIAL SERVICES, INC. | RULE FINANCIAL SERVICES | RSD FINANCIAL | ROLLOVER ADVISORY SERVICES | ROLLOVER ADVISORS MA | RIVERSIDE WEALTH MANAGEMENT | RIVERSIDE RETIREMENT ADVISORS, LLC | RIVERSIDE INVESTMENT SERVICES | RETIREMENT INCOME PLANNING ASSOCIATES | RANZIE, ROSEMARIE | PROVO WEALTH MANAGEMENT GROUP | PROVO FINANCIAL SERVICES | PETERKIN ADVISORY SERVICES | PATRIOT RETIREMENT PLAN PARTNERS | PATRIOT PARTNERS SERVICES | NEW ENGLAND RETIREMENT SOLUTIONS, LLC | MERRIMACK VALLEY WEALTH MANAGEMENT | MENT FINANCIAL GROUP | MCLAUGHLIN FINANCIAL CONSULTING | MCGRATH ADVISORS INC | LIGHT WEALTH MANAGEMENT | LEGACY WEALTH MANAGEMENT | JPS FINANCIAL | JOFFREY SMITH FINANCIAL GROUP | IVY WEALTH MANAGEMENT, INC | IVY WEALTH ADVISORS | IVY RETIREMENT SOLUTIONS | IVY FINANCIAL FITNESS | INDUS FINANCIAL | HAYDEN WEALTH MANAGEMENT | GREYHOUND FINANCIAL | GOOD HABITS FINANCIAL | GENERATIONS ADVISORY GROUP | GALLI FINANCIAL GROUP | FLEX FINANCIAL PLANNING | ECHELON PLANNING GROUP | ECHELON FINANCIAL SERVICES | DKH INVESTMENT ADVISORS | DF MURPHY LIFE INSURANCE AGENCY | CREATIVE FINANCIAL SERVICES | CORNER OFFICE FINANCIAL LLC | CORNER OFFICE ADVISORY GROUP | COMPREHENSIVE WEALTH PLANNERS AT DEAN BANK | COMPREHENSIVE WEALTH MANAGEMENT | CLARITY PRIVATE WEALTH | CHILDS FINANCIAL SERVICES | CHANCELLOR WEALTH ADVISORS | CHAMPION FINANCIAL GROUP | CASTLE HILL ADVISORY SERVICES | BW FINANCIAL SERVICES | BROWN & ASSOCIATES WEALTH MANAGEMENT | BOSTON INDEPENDENCE GROUP | BLACK DIAMOND ADVISORY SERVICES LLC | BCA ADVISORY GROUP | BANK GLOUCESTER INVESTMENT ADVISORY SERVICES | BANK GLOUCESTER FINANCIAL SERVICES | B&D ADVISORS | ATLANTIC WEALTH MANAGEMENT | ASCUTNEY FINANCIAL GROUP | ALPHA PARTNERS ADVISORY | ALDER TREE FINANCIAL
CRD#: 172470 / SEC#: 801-80245
RIA
Registered Investment Advisory firm - (9/9/2014 Approved)Rhode Island
Registered Investment Advisory firm - (7/23/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
55 West Street Suite 201, Walpole, MA 02081
Mailing Address
Phone number
(508) 251-6100
Established
Firm type
Fiscal year end
# of Employees
62
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,135 |
| AUM (Assets Under Management) | $ 2,405,488,420 |
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.
