Steven Baldwin

THE ROAD AHEAD WEALTH MANAGEMENT LLC

Woodinville, WA

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CRD#: 7775027

Professional summary

Steven Baldwin is a registered financial advisor currently at THE ROAD AHEAD WEALTH MANAGEMENT LLC located in Woodinville, Washington.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Steven has worked at 1 firm 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.

Name: Baldwin Hawaiian Properties, LLC; not investment related; Woodinville, WA; rental property; Owner; start 12/2024; 2 hours/month, 0 during securities trading; Condo rental. Name: Steven Baldwin, Sole Proprietor; not investment related; Woodinville, WA; Trustee for friend's account; Owner; start 12/2024; 2 hours/month, 0 during securities trading; back up trustee for a friends account.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Baldwin'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®

None

Experience

Current

February 5, 2024 - Present

THE ROAD AHEAD WEALTH MANAGEMENT LLC

RIA

CRD#: 327403

Woodinville, WA

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

Washington
(2/5/2024)

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: 6/2/2023

Uniform Investment Adviser Law Examination

Current Firm

THE ROAD AHEAD WEALTH MANAGEMENT LLC

CRD#: 327403 / SEC#:

Washington

Registered Investment Advisory firm - (2/5/2024 Approved)

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Contact information

Main Address

Woodinville, WA

Mailing Address

Phone number

(425) 361-8701

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 11,200,000

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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Steven Baldwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Baldwin's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE ROAD AHEAD WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/2023

Current Firm

THE ROAD AHEAD WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE ROAD AHEAD WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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