AR
Andrew S. Rafal
BAYNTREE WEALTH ADVISORS
Scottsdale, AZ 85253
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CRD#: 5602416
AR
Professional summary
Andrew Scott Rafal is a registered financial advisor currently at BAYNTREE WEALTH ADVISORS, LLC located in Scottsdale, Arizona.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Andrew has worked at 3 firms and has passed the Series 65 exam.
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.
(1) NAME: AJW, LLC--INVESTMENT RELATED: YES--ADDRESS: 6720 NORTH SCOTTSDALE ROAD, SUITE 340, SCOTTSDALE, AZ 85253--NATURE OF OTHER BUSINESS: HOLDING COMPANY--OWNERSHIP: MEMBER--START DATE: JULY 2006--APPROX. HOURS: ZERO HOURS/MONTH & ZERO HOURS/DAY DURING TRADING HOURS--DUTIES: NO DUTIES
(2) NAME: AJW CAPITAL VENTURES--INVESTMENT RELATED: NO--ADDRESS: 6402 E. LAFAYETTE BLVD SCOTTSDALE AZ 85251--NATURE OF OTHER BUSINESS: HOLDING COMPANY--OWNERSHIP: MANAGER--START DATE: OCTOBER 2011--APPROX. HOURS: ZERO HOURS/MONTH & ZERO HOURS/DAY DURING TRADING HOURS--DUTIES: NO DUTIES
(3) NAME: AJW ADVISORY, LLC--INVESTMENT RELATED: NO--ADDRESS: 6402 E. LAFAYETTE BLVD SCOTTSDALE AZ 85251--NATURE OF OTHER BUSINESS: N/A-INACTIVE--OWNERSHIP: MEMBER--START DATE: JUNE 2011--APPROX. HOURS: ZERO HOURS/MONTH & ZERO HOURS/DAY DURING TRADING HOURS--DUTIES: NO DUTIES
(4) BAYNTREE PLANNING GROUP, LLC -- INVESTMENT RELATED, 6720 NORTH SCOTTSDALE ROAD, SUITE 340, SCOTTSDALE, AZ 85253--NATURE OF OTHER BUSINESS: STATE-LICENSED INSURANCE AGENCY--OWNERSHIP: MEMBER--START DATE: 07/2015 HOURS: 20 HOURS/MONTH & 1 HOURS/DAY DURING TRADING HOURS--DUTIES: INSURANCE RECOMMENDATIONS
(5) RAFGREEN, LLC-- INVESTMENT RELATED,5910 LANDERBROOK DR NO 200 CLEVELAND, OHIO 44124--NATURE OF OTHER BUSINESS: REAL ESTATE (FAMILY)--OWNERSHIP: MEMBER--START DATE: 08/2011 HOURS: 0 HOURS/MONTH & 0 HOURS/DAY DURING TRADING HOURS--DUTIES: NONE
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Scott Rafal'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®
NoneExperience
Current
July 29, 2015 - Present
BAYNTREE WEALTH ADVISORS, LLC
Office #1: 7001 North Scottsdale Road Suite 2055, Scottsdale, AZ 85253RIA
CRD#: 226708
Scottsdale, AZ
Past
November 20, 2012 - December 17, 2015
STRATEGY FINANCIAL GROUP
RIA
CRD#: 164531
PHOENIX, AZ
Past
June 25, 2011 - February 13, 2013
REDWOOD INVESTMENT MANAGEMENT, LLC.
RIA
CRD#: 153139
PHOENIX, AZ
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(7/29/2015)
IAR
Texas(11/24/2015)
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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