BH
Brian D. Hartstein
BAYNTREE WEALTH ADVISORS
Scottsdale, AZ 85253
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CRD#: 2496816
BH
Professional summary
Brian David Hartstein, ChFC®, CLU® is a registered financial advisor currently at BAYNTREE WEALTH ADVISORS, LLC located in Scottsdale, Arizona.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Brian has worked at 6 firms and has passed the Series 65, Series 66, Series 63, 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.
ANDERSTEIN LLC - YES - 7624 East Wing Shadow Road Scottsdale AZ 85255 - REAL ESTATE/BUS INVEST - MANAGING PARTNER - 10/06 - 1-2HR/MO - MANAGE LLC.-- ECONOMIC CONCEPTS, INC. - YES - 7001 N Scottsdale Road, SCOTTSDALE, AZ 85253 - PENSION DESIGN FIRM - COO(CHIEF OPERATION OFFICER) - 01/01/09 - 10+HRS/MO - MANAGE DAY TO DAY OPERATIONS AND PENSION PLAN CONSULTANT.-- PHOENIX TAX WORKSHOP, , ADVISORY BOARD, 2/8/2013, 1 HOURS TOTAL, 0 DURING TRADING HOURS, HELPS OVERSEE THE MONTHLY MEETINGS DURING THE YEAR.].-- First Financial Resources 100 Spectrum Center Dr. #400 Irvine, CA 92618, Investment-Related, Partner and Member of Board of Directors, started 2004, 2 hours during the month, 1 hour during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Brian David Hartstein'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®
Experience
Current
July 2, 2016 - Present
BAYNTREE WEALTH ADVISORS, LLC
Office #1: 7001 North Scottsdale Road Suite 2055, Scottsdale, AZ 85253RIA
CRD#: 226708
Scottsdale, AZ
Past
March 13, 2009 - July 1, 2016
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SCOTTSDALE, AZ
Past
January 22, 2009 - July 1, 2016
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SCOTTSDALE, AZ
Past
September 19, 2007 - January 26, 2009
OSAIC SERVICES, INC.
RIA
CRD#: 133763
SCOTTSDALE, AZ
Past
October 31, 2005 - January 26, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
May 21, 1996 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
November 7, 1995 - May 29, 1996
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHICAGO, IL
Past
June 22, 1994 - October 20, 1995
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
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".
BW
BAYNTREE WEALTH ADVISORS, LLC
BAINTREE FINANCIAL GROUP | BAYNTREE WEALTH ADVISORS, LLC | BAINTREE WEALTH ADVISORS, LLC | BAINTREE FINANCIAL GROUP, LLC
CRD#: 226708 / SEC#: 801-121867
RIA
Registered Investment Advisory firm - (7/23/2021 Approved)Arizona
Registered Investment Advisory firm - (8/23/2021 Terminated)California
Registered Investment Advisory firm - (9/22/2021 Terminated)New Mexico
Registered Investment Advisory firm - (8/23/2021 Terminated)Texas
Registered Investment Advisory firm - (8/23/2021 Terminated)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
Arizona(8/18/2016)
IAR
Texas(7/2/2016)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BW
BAYNTREE WEALTH ADVISORS, LLC
BAINTREE FINANCIAL GROUP | BAYNTREE WEALTH ADVISORS, LLC | BAINTREE WEALTH ADVISORS, LLC | BAINTREE FINANCIAL GROUP, LLC
CRD#: 226708 / SEC#: 801-121867
RIA
Registered Investment Advisory firm - (7/23/2021 Approved)Arizona
Registered Investment Advisory firm - (8/23/2021 Terminated)California
Registered Investment Advisory firm - (9/22/2021 Terminated)New Mexico
Registered Investment Advisory firm - (8/23/2021 Terminated)Texas
Registered Investment Advisory firm - (8/23/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7001 North Scottsdale Road Suite 2055, Scottsdale, AZ 85253
Mailing Address
Phone number
(480) 494-2750
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,022 |
| AUM (Assets Under Management) | $ 191,705,737 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
