Andrew J. Reynolds
BALLAST
Lexington, KY 40507
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CRD#: 5603070
Professional summary
Andrew Joseph Reynolds, CFP®, who also goes by Andy Reynolds, is a registered financial advisor currently at BALLAST, INC. located in Lexington, Kentucky.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Andrew has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Reynolds
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) - Blue Grass Community Foundation, Investment related: No, 499 East High Street, Suite 112, Lexington, Ky, 40507, Community Foundation, Board Member, 01/01/2015, 2, I will be a volunteer board member and member of the executive committee. I will NOT have any ability to direct, access, move, change, handle, or make a unilateral decision on any of the foundation's assets, checking accounts, or any financial decisions. This is a role where I will help provide input to the organization. help create ideas of how to improve knowledge of community foundation. (2) Three Fillies Farm; Lexington, KY; Service description: We sell hay; Start date: 06/16/2016; Title: N/A; Duties: Sell hay; Time spent: 5% (3) - Cathedral of Christ The King - Volunteer Endowment Committee Member (4) - University of Kentucky MBA Advisory Council, Investment related: No, 550 South Limestone, Lexington, Kentucky, 40506, , volunteer council member, 07/01/2020, 1 hour, The council has three primary goals: Help improve our program through ensuring that the program is providing the tools for our candidates to excel in the workplace Help mentor and develop our MBA candidates through providing functional and career advice to our candidates Help place our MBA candidates through providing networking as well as internship opportunities. (5) - Outside Fixed Insurance; Lexington, KY; Service description: Life/Disability/Long-term care insurance; Duties: Insurance Agent; Title: Financial Planner, Director of business development; Time spent: 10%. (6) -Four Foals Realty LLC; a LLC created for investment properties; Time spent 5%. (7)- Hat Creek Racing Co XI, LLC; not investment-related; 838 E. High Street, #104 Lexington, KY 40502; has ownership in race horses; minority/silent investor; start date: 4/24/2024; I devote "0" hours per month to this business; no duties, silent investor.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Joseph Reynolds'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®
CFP®
Start date: 2012
Experience
Current
April 12, 2010 - Present
BALLAST, INC.
Office #1: 400 East Vine St Suite 400, Lexington, KY 40507RIA
CRD#: 152695
Lexington, KY
Past
March 15, 2010 - September 8, 2021
APW CAPITAL, INC.
BD
CRD#: 43814
LEXINGTON, KY
Past
December 10, 2009 - March 22, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEXINGTON, KY
Past
November 6, 2009 - March 22, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
LEXINGTON, KY
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".
BI
BALLAST, INC.
BALLAST, INC. | BOARDMAN WEALTH PLANNING, INC.
CRD#: 152695 / SEC#: 801-79651
RIA
Registered Investment Advisory firm - (4/25/2014 Approved)Kentucky
Registered Investment Advisory firm - (7/2/2014 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2014 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
Kentucky(4/12/2010)
IAR
Ohio(3/2/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
BI
BALLAST, INC.
BALLAST, INC. | BOARDMAN WEALTH PLANNING, INC.
CRD#: 152695 / SEC#: 801-79651
RIA
Registered Investment Advisory firm - (4/25/2014 Approved)Kentucky
Registered Investment Advisory firm - (7/2/2014 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 East Vine St Suite 400, Lexington, KY 40507
Mailing Address
Phone number
(859) 226-0625
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,798 |
| AUM (Assets Under Management) | $ 625,203,027 |
Red Flags
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Company Information
BALLAST, INC.
CRD#: 152695Lexington, KY 40507TRUST BUT VERIFY
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