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DA

David G. Aballo

PROFESSIONAL PLANNING GROUP
Westerly, RI 02891
Some features on this profile are disabled
CRD#: 7793846
DA

Professional summary

David Gabriel Aballo, who also goes by David Aballo, is a registered financial advisor currently at PROFESSIONAL PLANNING GROUP located in Westerly, Rhode Island and RAYMOND JAMES FINANCIAL SERVICES, INC. located in Westerly, Rhode Island.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. David has worked at 2 firms and has passed the Series 63, SIE and Series 7TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David Aballo

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)Name of Business: Professional Planning Group Address: 9 Granite St, Westerly, RI, 02891-2207, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 09/05/2023 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor\nTrading\nClient Services\nClient Reviews

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Gabriel Aballo'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

September 29, 2023 - Present

PROFESSIONAL PLANNING GROUP

Office #1: 9 Granite Street, Westerly, RI 02891
RIA
CRD#: 108868
Westerly, RI
Current

December 4, 2023 - Present

RAYMOND JAMES FINANCIAL SERVICES, INC.

Office #1: 9 Granite Street, Westerly, RI 02891
BD
CRD#: 6694
Westerly, RI

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".
PP
PROFESSIONAL PLANNING GROUP
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.

CRD#: 108868 / SEC#: 801-15330

RIA
Registered Investment Advisory firm - (7/18/1980 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.
RR
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

RR
California
(2/29/2024)
RR
Connecticut
(2/13/2024)
RR
Florida
(2/13/2024)
RR
Massachusetts
(2/13/2024)
RR
New York
(2/29/2024)
IAR
Rhode Island
(9/29/2023)
RR
Rhode Island
(1/17/2024)
IAR
Texas
(9/29/2023)
RR
Washington
(9/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/18/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/4/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/1/2023
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PP
PROFESSIONAL PLANNING GROUP
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.

CRD#: 108868 / SEC#: 801-15330

RIA
Registered Investment Advisory firm - (7/18/1980 Approved)
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Contact information

Main Address
9 Granite Street, Westerly, RI 02891
Mailing Address
Phone number
(401) 596-2800
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

10 16 2025 PPG FORM ADV PART 2A FINAL (10/16/2025)

Regulatory assets under management

Total Number of Accounts2,354
AUM (Assets Under Management)$ 1,166,383,072

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.

Company Information

PROFESSIONAL PLANNING GROUP

CRD#: 108868Westerly, RI 02891

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