Vincent C. Baroldi

BAROLDI WOOD MANCE FINANCIAL ADVISORS

FOOTHILL RANCH, CA 92610

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CRD#: 4784970

Professional summary

Vincent Charles Baroldi is a registered financial advisor currently at BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC located in Foothill Ranch, California.

Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Vincent has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 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.

Baroldi Gundersen, LLP,NOT INVESTMENT RELATED,27442 PORTOLA PARKWAY, STE 155 CA 92610,ACCOUNTING & TAX, PRESIDENT,STARTED 07/1/01, 200 HRS/MO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Charles Baroldi'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 15, 2021 - Present

BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

Office #1: 27442 Portola Parkway Suite 155, Foothill Ranch, CA 92610

RIA

CRD#: 317002

FOOTHILL RANCH, CA

Past

September 17, 2018 - December 23, 2021

HARVEST INVESTMENT SERVICES, LLC

RIA

CRD#: 159390

FOOTHILL RANCH, CA

Past

September 7, 2006 - August 30, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

MISSION VIEJO, CA

Past

April 30, 2004 - August 30, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

MISSION VIEJO, CA

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
(11/15/2021)

IAR

Texas
(5/9/2022)

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 65

Date: 9/6/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/29/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/29/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

BAROLDI GUNDERSEN FINANCIAL ADVISORS LLC | BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

CRD#: 317002 / SEC#: 801-122680

RIA

Registered Investment Advisory firm - (4/22/2022 Terminated)

California

Registered Investment Advisory firm - (4/19/2022 Approved)

Texas

Registered Investment Advisory firm - (5/9/2022 Conditional Restricted)

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).

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Contact information

Main Address

27442 Portola Parkway Suite 155, Foothill Ranch, CA 92610

Mailing Address

Phone number

(949) 472-9432

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	252
AUM (Assets Under Management)	$ 61,595,244

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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Vincent C. Baroldi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Charles Baroldi's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

HARVEST INVESTMENT SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2006

Series 63

Date: 4/29/2004

SIE

Date: 8/30/2018

Series 6

Date: 4/29/2004

Current Firm

BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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