Deborah Dutton Baldini
Professional Summary
Deborah Dutton Baldini, who also goes by Deborah Ann Dutton, Deborah Baldini Prendergast, is a registered financial advisor currently at ABLE FINANCIAL GROUP, LLC located in Scottsdale, Arizona and PRIVATE CLIENT SERVICES, LLC located in Scottsdale, Arizona. Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Deborah has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Deborah Ann Dutton, Deborah Baldini Prendergast
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
ABLE FINANCIAL GROUP, LLC
Contact Information
Main Address
8737 E. Via De Commercio Suite 100, Scottsdale, AZ 85258Phone Number
(480) 258-6104# of Employees
14SEC notice filing (14 States and Territories)
Registered to provide investment advisory services in 14 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,694AUM (Assets Under Management)
$732,941,557Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ABLE FINANCIAL GROUP, LLC
State Registrations and Notice Filings
(4/24/2024)
(5/9/2024)
(4/24/2024)
(4/24/2024)
(4/24/2024)
(4/24/2024)
(4/24/2024)
(4/24/2024)
(4/29/2024)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1983Series 15 — Foreign Currency Options Examination
Passed Mar 1983Series 1 — Registered Representative Examination
Passed Feb 1979Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1983SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Deborah Dutton Baldini's CRS (Customer Relationship Summary).
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