Mauricio Aldrete

GALLAGHER FIDUCIARY ADVISORS

Austin, TX 78759

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CRD#: 4662506

Professional summary

Mauricio Aldrete is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Austin, Texas and OSAIC WEALTH, INC. located in Austin, Texas.

Mauricio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Mauricio has worked at 7 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1)Gallagher Benefit Services,Inc;investment related;2850 Golf Road,Rolling Meadows,IL 60008;corporation;retirement plan consultant;1/16/2024;40 hrs/month;2 hrs during trading;retirement plan consulting

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mauricio Aldrete'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

April 18, 2024 - Present

GALLAGHER FIDUCIARY ADVISORS, LLC

Office #1: 9442 Capital Of Texas Highway N., Suite 950, Austin, TX 78759

RIA

CRD#: 146509

Austin, TX

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 9442 Capital Of Texas Highway North Suite 950, Austin, TX 78704

RIA

CRD#: 23131

Austin, TX

Past

March 18, 2024 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Austin, TX

Past

March 21, 2018 - January 19, 2024

PENSIONMARK SECURITIES, LLC

CRD#: 283952

Garden Ridge, TX

Past

April 14, 2015 - February 13, 2018

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

May 9, 2013 - March 18, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

AUSTIN, TX

Past

April 2, 2013 - March 18, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

AUSTIN, TX

Past

May 20, 2011 - February 7, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMI, FL

Past

October 25, 2010 - February 7, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MIAMI, FL

Past

May 15, 2008 - November 17, 2008

LAFISE SECURITIES LLC

CRD#: 115624

MIAMI, FL

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".

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 Approved)

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.

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

New Mexico
(8/23/2024)

IAR

Texas
(4/18/2024)

Texas
(8/23/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/18/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/19/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 Approved)

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Contact information

Main Address

2850 Golf Road, Rolling Meadows, IL 60008

Mailing Address

Phone number

(212) 330-1011

Established

Firm type

Fiscal year end

# of Employees

221

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR RETAIL CLIENTS (4/22/2025)

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR INSTITUTIONAL CLIENTS (4/22/2025)

Regulatory assets under management

Total Number of Accounts	5,754
AUM (Assets Under Management)	$ 180,614,282,519

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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Advisor Monitoring

Firm Stability Insights

Mauricio Aldrete

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mauricio Aldrete's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

PENSIONMARK SECURITIES, LLC

JOHN HANCOCK DISTRIBUTORS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

LAFISE SECURITIES LLC

Primary Firm SEC Registration

GALLAGHER FIDUCIARY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/18/2024

Series 66

Date: 2/19/2011

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2008

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GALLAGHER FIDUCIARY ADVISORS, LLC

TRUST BUT VERIFY

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