Andrew M. Baugh

LEGACY CAPITAL GROUP CALIFORNIA

Fishers, IN

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CRD#: 2621445

Professional summary

Andrew Michael Baugh, who also goes by Andrew M Baugh, Andy Michael Baugh, is a registered financial advisor currently at LEGACY CAPITAL GROUP CALIFORNIA, INC. located in Fishers, Indiana and INTEGRITY ALLIANCE, LLC. located in Los Gatos, California.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Andrew has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew M Baugh | Andy Michael Baugh

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.) 459 MONTEREY AVE LLC; Non-Investment Related; 459 Monterey Ave, Los Gatos, CA 95030; LLC; Owner; Start Date: 9/1/2005; 5 hours devoted monthly; 5 hours devoted monthly during trading hours; Own the office building where Legacy Capital Group California leases space, Maintaining the building and subleasing offices DESCRIPTION: Maintaining the building and subleasing offices. 2.) LEGACY CAPITAL GROUP CALIFORNIA; Investment Related; 459 Monterey Ave, Los Gatos CA 95030; RIA; Owner/COO; Start Date: 1/1/1998; 160 hours devoted monthly; 100 hours devoted monthly during trading hours; Servicing Clients 3.) REACT INVESTMENT SOLUTIONS LLC; Investment Related; 459 Monterey Ave, Los Gatos CA 95030; RIA; Owner/CIO; Start Date: 10/2009; 160 hours devoted monthly; 100 hours devoted monthly during trading hours; Servicing Clients

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Michael Baugh'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

May 30, 2024 - Present

LEGACY CAPITAL GROUP CALIFORNIA, INC.

RIA

CRD#: 111436

Fishers, IN

Current

November 3, 2025 - Present

INTEGRITY ALLIANCE, LLC.

Office #1: 459 Monterey Ave Ste 100, Los Gatos, CA 95030

RIA

CRD#: 139627

Los Gatos, CA

Past

March 5, 2015 - November 3, 2025

LION STREET FINANCIAL, LLC

CRD#: 165828

Los Gatos, CA

Past

February 5, 2014 - December 31, 2023

REACT INVESTMENT SOLUTIONS, LLC

RIA

CRD#: 150801

LOS GATOS, CA

Past

October 20, 1998 - January 2, 2015

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

LOS GATOS, CA

Past

June 7, 1995 - April 19, 1996

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

June 7, 1995 - April 19, 1996

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

LEGACY CAPITAL GROUP CALIFORNIA, INC.

CRD#: 111436 / SEC#: 801-69566

RIA

Registered Investment Advisory firm - (9/10/2008 Approved)

California

Registered Investment Advisory firm - (9/18/2008 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.

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

IAR

California
(5/30/2024)

California
(11/3/2025)

Indiana
(11/3/2025)

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

Series 63

Date: 12/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/6/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/15/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LEGACY CAPITAL GROUP CALIFORNIA, INC.

CRD#: 111436 / SEC#: 801-69566

RIA

Registered Investment Advisory firm - (9/10/2008 Approved)

California

Registered Investment Advisory firm - (9/18/2008 Terminated)

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Contact information

Main Address

459 Monterey Avenue Suite 100, Los Gatos, CA 95030

Mailing Address

Phone number

(408) 399-6330

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEGACY ADV PART 2A 10.13.25 (11/5/2025)

Regulatory assets under management

Total Number of Accounts	2,090
AUM (Assets Under Management)	$ 608,388,867

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 M. Baugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Michael Baugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

LION STREET FINANCIAL, LLC

REACT INVESTMENT SOLUTIONS, LLC

KESTRA INVESTMENT SERVICES, LLC

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

LEGACY CAPITAL GROUP CALIFORNIA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/4/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/9/1998

Series 6

Date: 6/6/1995

Series 24

Date: 10/15/1998

FINRA

Current Firm

LEGACY CAPITAL GROUP CALIFORNIA, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY CAPITAL GROUP CALIFORNIA, INC.

TRUST BUT VERIFY

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