Leonard J. Del Gallo

DEL GALLO FINANCIAL SERVICES

Avon, CT 06001

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CRD#: 2344847

Professional summary

Leonard Joseph Del Gallo JR., CFP®, who also goes by Leonard Joseph Delgallo Jr., Leonard Joseph Delgallo, Leonard Delgallo, Leonard Joseph (jr) Delgallos, is a registered financial advisor currently at DEL GALLO FINANCIAL SERVICES, LLC located in Avon, Connecticut.

Leonard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Leonard has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leonard Joseph Delgallo Jr. | Leonard Joseph Delgallo | Leonard Delgallo | Leonard Joseph (jr) Delgallos

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.

1. Leonard J. Del Gallo Jr. is LICENSED IN CT. AND OTHER STATES AS AN AGENT with lines of authority covering LIFE, ACCIDENT and HEALTH, CREDIT, TRAVEL INSURANCE. Leonard J. Del Gallo Jr. is a CERTIFIED FINANCIAL PLANNER CERTIFICANT and MASTER PLANNER ADVANCED STUDIES. DEL GALLO FINANCIAL SERVICES, LLC IS AN INSURANCE AGENCY WITH LEONARD J. DEL GALLO JR AS THE MANAGING MEMBER/17 BRIAR HILL RD., P.O. BOX 717 AVON CT. 06001 & branch location/START DATE 11/1/1999/ 0-10 HOURS PER MONTH - INSURANCE ACTIVITIES. 2. DFS Realty, LLC - Leonard J. Del Gallo Jr. is the managing member. DFS Realty, LLC was started in May 2015 and is a Limited Liability Company that owns property. LESS THAN 1% OF Leonard J. Del Gallo Jr.'s TIME,0-1 HOUR PER Month and happens when securities trading hours are not happening. DFS Realty, LLC holds property but does not act as a real estate agent or real estate broker. DFS Realty, LLC is not associated with the investment related activity of Del Gallo Financial Services, LLC. DFS Realty, LLC, P.O. BOX 717, AVON, CT. 06001-0717. 3. Leonard J. Del Gallo Jr. is a Broker Associate, independent contractor, with Berkshire Hathaway HomeServices New England Properties in Connecticut & Park Place Realty Network in Florida. This activity is 0-5 hours per month and happens mainly after securities trading hours. Started May 2019. This activity is not associated with the investment related activity of Del Gallo Financial Services, LLC. 4. Leonard J. Del Gallo Jr. instructs and designs curriculum with the College For Financial Planning ( A Kaplan Company). Started May 2023. This activity is 0-10 hours per month and happens mainly after securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonard Joseph Del Gallo JR.'s 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®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

December 1, 2008 - Present

DEL GALLO FINANCIAL SERVICES, LLC

Office #1: 195 West Main Street Suite 7, Avon, CT 06001

RIA

CRD#: 148260

Avon, CT

Past

January 3, 2000 - December 9, 2008

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

AVON, CT

Past

December 9, 1999 - December 9, 2008

TOWER SQUARE SECURITIES, INC.

CRD#: 833

AVON, CT

Past

June 9, 1993 - December 8, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(12/1/2008)

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

IAR

Series 65

Date: 8/5/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/24/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/8/1993

General Securities Representative Examination

Current Firm

DEL GALLO FINANCIAL SERVICES, LLC

DEL GALLO FINANCIAL SERVICES, LLC | DFS, LLC | DFS

CRD#: 148260 / SEC#:

Connecticut

Registered Investment Advisory firm - (12/1/2008 Approved)

Texas

Registered Investment Advisory firm - (10/16/2013 Terminated)

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).

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Contact information

Main Address

Avon, CT

Mailing Address

P.o. Box 717, Avon, CT 06001-0717

Phone number

(860) 675-5201

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	23
AUM (Assets Under Management)	$ 5,298,762

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.

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Leonard J. Del Gallo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonard Joseph Del Gallo JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

DEL GALLO FINANCIAL SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/1994

Series 63

Date: 6/24/1993

Series 7

Date: 6/8/1993

Current Firm

DEL GALLO FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DEL GALLO FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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