Andrew J. Pellegrino

PLUM STREET ADVISORS

Newton, MA 02459

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CRD#: 5005368

Professional summary

Andrew John Pellegrino, CFP®, who also goes by Andy Pellegrino, is a registered financial advisor currently at PLUM STREET ADVISORS, LLC located in Newton, Massachusetts.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Andrew has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

At a Glance

Always Fiduciary

Aliases

Andy Pellegrino

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) - RIA

Click below to view Andrew John Pellegrino'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®

CFP^®

Certified Financial Planner

Experience

Current

January 5, 2024 - Present

PLUM STREET ADVISORS, LLC

Office #1: 154 Wells Avenue Suite 3, Newton, MA 02459

RIA

CRD#: 283917

Newton, MA

Past

June 9, 2016 - September 14, 2022

AMG DISTRIBUTORS, INC.

CRD#: 27314

STAMFORD, CT

Past

July 2, 2007 - July 30, 2014

BNY MELLON SECURITIES CORPORATION

CRD#: 231

PITTSBURGH, PA

Past

December 13, 2005 - July 2, 2007

MELLON FUNDS DISTRIBUTOR, L.P.

CRD#: 39414

PITTSBURGH, PA

Past

September 20, 2005 - December 31, 2005

MBSC, LLC

CRD#: 42430

NEW YORK, NY

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".

PLUM STREET ADVISORS, LLC

CRD#: 283917 / SEC#: 801-121901

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

California

Registered Investment Advisory firm - (9/8/2021 Terminated)

Florida

Registered Investment Advisory firm - (8/9/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (8/11/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/9/2021 Terminated)

New York

Registered Investment Advisory firm - (8/9/2021 Terminated)

Washington

Registered Investment Advisory firm - (9/9/2021 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).

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

California
(1/11/2024)

IAR

Florida
(2/4/2024)

IAR

Louisiana
(1/23/2024)

IAR

Massachusetts
(2/7/2024)

IAR

Pennsylvania
(1/5/2024)

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: 4/3/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/17/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/19/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/24/2008

General Securities Principal Examination

Current Firm

PLUM STREET ADVISORS, LLC

CRD#: 283917 / SEC#: 801-121901

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

California

Registered Investment Advisory firm - (9/8/2021 Terminated)

Florida

Registered Investment Advisory firm - (8/9/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (8/11/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/9/2021 Terminated)

New York

Registered Investment Advisory firm - (8/9/2021 Terminated)

Washington

Registered Investment Advisory firm - (9/9/2021 Terminated)

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Contact information

Main Address

New Orleans, LA

Mailing Address

Phone number

(504) 517-5107

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PLUM STREET ADVISORS BROCHURE (3/29/2025)

Regulatory assets under management

Total Number of Accounts	574
AUM (Assets Under Management)	$ 359,366,449

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

Andrew J. Pellegrino

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew John Pellegrino's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMG DISTRIBUTORS, INC.

BNY MELLON SECURITIES CORPORATION

MELLON FUNDS DISTRIBUTOR, L.P.

MBSC, LLC

Primary Firm SEC Registration

PLUM STREET ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/3/2006

SIE

Date: 10/1/2018

Series 3

Date: 6/17/2016

Series 7

Date: 9/19/2005

Series 24

Date: 11/24/2008

Current Firm

PLUM STREET ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PLUM STREET ADVISORS, LLC

TRUST BUT VERIFY

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