DB
Deborah D. Baldini
ABLE FINANCIAL GROUP
Scottsdale, AZ 85258
Some features on this profile are disabled
CRD#: 862603
DB
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, Series 5, Series 15, Series 7, Series 1, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Deborah Ann Dutton | Deborah Baldini Prendergast
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) ABLE Financial Group, 8737 E Via De Commercio, Suite 100, Scottsdale, AZ 85258, Description: Registered Investment Adviser firm, Duties: Investment Adviser Representative, 80 hours per month, 80 during trading hours, Start Date: 04/24/2024. 2) Real estate rental, 556 Heineman Blvd., Mansfield, OH 44903, Description: real estate rental, Duties: Owner - property is managed by Alpha & Omega Real Estate Group, 1 hour per month, 1 during trading hours, Start Date: 06/2022. 3) Representative payee for Micol Baldini, 911 E Wesleyan Dr., Tempe, AZ 85282, Description: Representative payee for my daughter's social security disability benefits, Duties: As representative payee, I manage my daughter's social security benefit and pay all the bills, 11-20 hours per month, 0-1 during trading hours, Start Date 12/2020. 4) Irrevocable Wholly Discretionary Trust FBO Micol Baldini, 911 E Wesleyan Dr., Tempe, AZ 85282, Description: Trustee of my daughter's special needs trust, Duties: Manage trust to provide funds for my daughter's maintenance after we die, 0-1 hours per month, 0-1 during trading hours, Start Date: 08/2022 5) Private Client Services, 2225 Lexington Road, Louisville, KY, 40206, Description: Registered Broker Dealer. Duties: Registered Representative. 80 hours per month, 80 during trading hours. Start Date: 04/24/2024.
CRS (Client Relationship Summary) - RIA
Click below to view Deborah Dutton Baldini'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
April 29, 2024 - Present
ABLE FINANCIAL GROUP, LLC
Office #1: 8737 E. Via De Commercio Suite 100, Scottsdale, AZ 85258RIA
CRD#: 323646
Scottsdale, AZ
Current
April 24, 2024 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 8737 E. Via De Commercio Suite 100, Scottsdale, AZ 85258RIA
BD
CRD#: 120222
Scottsdale, AZ
Past
August 29, 2013 - April 25, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
PHOENIX, AZ
Past
August 23, 2013 - April 25, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
PHOENIX, AZ
Past
August 24, 2010 - August 23, 2013
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
SCOTTSDALE, AZ
Past
February 29, 2008 - August 23, 2013
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
SCOTTSDALE, AZ
Past
March 9, 2002 - March 17, 2008
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
SCOTTSDALE, AZ
Past
March 9, 2002 - March 17, 2008
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SCOTTSDALE, AZ
Past
February 8, 1999 - March 9, 2002
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
July 11, 1979 - February 10, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 23, 1979 - June 30, 1979
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
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".
AF
ABLE FINANCIAL GROUP, LLC
ABLE FINANCIAL GROUP, LLC
CRD#: 323646 / SEC#: 801-127165
RIA
Registered Investment Advisory firm - (1/9/2023 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/24/2024)
IAR
Arizona(5/9/2024)
RR
California(4/24/2024)
RR
Connecticut(4/24/2024)
RR
Florida(4/24/2024)
RR
Georgia(4/24/2024)
RR
Ohio(4/24/2024)
RR
Texas(4/24/2024)
IAR
Texas(4/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/13/1983
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/10/1979
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/15/1983
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
AF
ABLE FINANCIAL GROUP, LLC
ABLE FINANCIAL GROUP, LLC
CRD#: 323646 / SEC#: 801-127165
RIA
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Contact information
Main Address
8737 E. Via De Commercio Suite 100, Scottsdale, AZ 85258
Mailing Address
Phone number
(480) 258-6104
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,484 |
| AUM (Assets Under Management) | $ 570,987,107 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
