Jeffrey J. Baker

MONEY CONCEPTS CAPITAL CORP

Montgomery, TX

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CRD#: 1411708

Professional summary

Jeffrey Joseph Baker, who also goes by Jeffrey J Baker, is a registered financial advisor currently at MONEY CONCEPTS CAPITAL CORP located in Montgomery, Texas.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Jeffrey has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffrey J Baker

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Joseph Baker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Joseph Baker's CRS (Customer Relationship Summary).

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

June 14, 2017 - Present

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

Montgomery, TX

Current

September 7, 1999 - Present

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

Montgomery, TX

Past

January 14, 2009 - June 8, 2017

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

WINTER PARK, FL

Past

September 7, 1999 - December 8, 2008

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

WINTER PARK, FL

Past

February 5, 1996 - September 1, 1999

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

March 22, 1994 - February 5, 1996

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

Past

March 30, 1993 - April 1, 1994

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

INDIANAPOLIS, IN

Past

June 29, 1987 - February 1, 1996

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

April 15, 1986 - November 13, 1989

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

INDIANAPOLIS, IN

Past

November 29, 1985 - March 10, 1987

PRUCO SECURITIES, LLC.

CRD#: 5685

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".

MONEY CONCEPTS CAPITAL CORP

INTERNATIONAL FINANCIAL SERVICES CAPITAL CORPORATION | MONEY CONCEPTS CAPITAL CORP | MONEY CONCEPTS ADVISORY SERVICE

CRD#: 12963 / SEC#: 801-39736, 8-29671

RIA

Registered Investment Advisory firm - SEC (10/7/1991 Approved)

Virgin Islands

Registered Investment Advisory firm - SEC (10/28/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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.

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

Florida
(9/7/1999)

Indiana
(9/7/1999)

Michigan
(1/3/2017)

Ohio
(1/20/2022)

Texas
(10/10/2008)

IAR

Texas
(6/14/2017)

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

State Security Law Exam

IAR

Series 65

Date: 1/17/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/27/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/30/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

MONEY CONCEPTS CAPITAL CORP

INTERNATIONAL FINANCIAL SERVICES CAPITAL CORPORATION | MONEY CONCEPTS CAPITAL CORP | MONEY CONCEPTS ADVISORY SERVICE

CRD#: 12963 / SEC#: 801-39736, 8-29671

RIA

Registered Investment Advisory firm - SEC (10/7/1991 Approved)

Virgin Islands

Registered Investment Advisory firm - SEC (10/28/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

11440 Jog Road, Palm Beach Gardens, FL 33418

Mailing Address

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764

Phone number

(561) 472-2000

Established

Florida since 06/23/1982

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

431

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MONEY CONCEPTS ADVISORY SERVICE FORM ADV PART 2A (3/20/2025)

Direct owners and executive officers

Name	Position	CRD#
MONEY CONCEPTS INTERNATIONAL, INC	OWNS 100% OF MONEY CONCEPTS CAPITAL CORP.
BARNETT, CHERYL MORRIS	VICE PRESIDENT \| COMPLIANCE OFFICER	1795785
MATOS, LIZA MARIA	VICE PRESIDENT \| COMPLIANCE OFFICER	4371969
RITTMAN, BARRY RICHARD	VICE PRESIDENT \| CHIEF FINANCIAL OFFICER	1997994
WALSH, DENIS STEPHEN	PRESIDENT \| CHIEF EXECUTIVE OFFICER	1124278
WALSH, JAMES EDWARD	VICE PRESIDENT \| ADVERTISING AND COMMUNICATIONS	2275368
WALSH, MARY THERESE	SR VICE PRESIDENT \| CHIEF COMPLIANCE OFFICER	2829444

Regulatory assets under management

Total Number of Accounts	14,898
AUM (Assets Under Management)	$ 3,328,625,395

Disclosures

Regulatory Event	8
Arbitration	3

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.

Contact information

xxxxx@xxxx.xxx

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Jeffrey J. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Joseph Baker's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Joseph Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

WALNUT STREET SECURITIES, INC.

MONEY CONCEPTS CAPITAL CORP

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

MONEY CONCEPTS CAPITAL CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 1/17/1995

Series 63

Date: 11/26/1985

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1998

Series 6

Date: 11/27/1985

Series 26

Date: 4/30/1998

FINRA

Current Firm

MONEY CONCEPTS CAPITAL CORP

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MONEY CONCEPTS CAPITAL CORP

TRUST BUT VERIFY

Contact information

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