Andre J. Baldanza

DIAMOND CLIENT GROUP

The Woodlands, TX 77380

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CRD#: 7726147

Professional summary

Andre James Baldanza, who also goes by Andre Baldanza, is a registered financial advisor currently at DIAMOND CLIENT GROUP, LLC located in The Woodlands, Texas.

Andre is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Andre has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andre Baldanza

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 Andre James Baldanza'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

November 25, 2024 - Present

DIAMOND CLIENT GROUP, LLC

Office #1: 9595 Six Pines Drive Suite 6200, The Woodlands, TX 77380

RIA

CRD#: 310570

The Woodlands, TX

Past

February 14, 2024 - November 26, 2024

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Flower Mound, TX

Past

August 18, 2023 - November 26, 2024

MML INVESTORS SERVICES, LLC

CRD#: 10409

Flower Mound, TX

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".

DIAMOND CLIENT GROUP, LLC

CRD#: 310570 / SEC#: 801-132329

RIA

Registered Investment Advisory firm - (4/4/2025 Approved)

Louisiana

Registered Investment Advisory firm - (8/11/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/11/2025 Termination Requested)

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

Texas
(11/25/2024)

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

IAR

Series 66

Date: 1/30/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/18/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/5/2023

Securities Industry Essentials Examination

Current Firm

DIAMOND CLIENT GROUP, LLC

CRD#: 310570 / SEC#: 801-132329

RIA

Registered Investment Advisory firm - (4/4/2025 Approved)

Louisiana

Registered Investment Advisory firm - (8/11/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/11/2025 Termination Requested)

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Contact information

Main Address

9595 Six Pines Drive Suite 6200, The Woodlands, TX 77380

Mailing Address

Phone number

(832) 319-1555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A DIAMOND CLIENT GROUP (10/1/2025)

Regulatory assets under management

Total Number of Accounts	628
AUM (Assets Under Management)	$ 117,334,720

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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Andre J. Baldanza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andre James Baldanza's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIAMOND CLIENT GROUP, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

DIAMOND CLIENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/30/2024

Series 7TO

Date: 8/18/2023

SIE

Date: 4/5/2023

Current Firm

DIAMOND CLIENT GROUP, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIAMOND CLIENT GROUP, LLC

TRUST BUT VERIFY

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