JW
Jeffrey P. Warnock
THE BALDWIN GROUP WEALTH ADVISORS
IRVINE, CA 92614
Some features on this profile are disabled
CRD#: 1458833
JW
Professional summary
Jeffrey Paul Warnock, CFP®, who also goes by Jeff Warnock, is a registered financial advisor currently at THE BALDWIN GROUP WEALTH ADVISORS, LLC located in Irvine, California and EQUITABLE ADVISORS, LLC located in Irvine, California.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Jeffrey has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Warnock
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. The Baldwin Group Wealth Advisors, LLC Investment related-Registered Investment Adviser 2050 Main Street, Suite 510 Irvine, CA 92614 One hundred sixty (plus) hours monthly-One hundred twenty hours monthly during securities trading hours. Start date: January 2016. Employee of parent company The Baldwin Insurance Group, Inc. (through subsidiary The Baldwin Group Financial Services Holdings, LLC) [grouped under The Baldwin Group], 4211 W. Boy Scout Blvd., Suite 800, Tampa, FL 33607. Start date: Jan 2021. 2. Equitable Advisors, LLC Investment related-Registered Representative, 1345 Avenue of the Americas, New York, NY 10105 Twenty hours monthly during securities trading. 3. Independent Insurance Agent Non-investment related Ten hours monthly during securities trading Offer insurance products to consumers and clients. 4. Ashar Group, LLC Investment related- Life Settlements Broker, Orlando, FL 32810 Ten hours monthly during securities trading. 5. Kiwanis Club of Huntington Beach Non Investment related- Board member Five hours monthly. 6. Referral arrangement with employer The Baldwin Insurance Group, Inc. (through subsidiary The Baldwin Insurance Group Holdings, LLC) [grouped under The Baldwin Group] for insurance products. Start Date: Jan 2021
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Paul Warnock'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: 1999
Experience
Current
March 12, 2021 - Present
THE BALDWIN GROUP WEALTH ADVISORS, LLC
Office #1: 2050 Main Street Suite 950, Irvine, CA 92614RIA
CRD#: 312284
IRVINE, CA
Current
May 27, 1986 - Present
EQUITABLE ADVISORS, LLC
Office #1: 2050 Main Street Suite 510, Irvine, CA 92614RIA
BD
CRD#: 6627
Irvine, CA
Past
December 21, 2015 - March 12, 2021
BURNHAM GIBSON WEALTH ADVISORS, INC.
RIA
CRD#: 282035
IRVINE, CA
Past
July 28, 1998 - September 16, 2016
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
IRVINE, CA
Past
May 27, 1986 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
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".
TB
THE BALDWIN GROUP WEALTH ADVISORS, LLC
BURNHAM GIBSON WEALTH ADVISORS, LLC | THE BALDWIN GROUP WEALTH ADVISORS, LLC | THE BALDWIN GROUP
CRD#: 312284 / SEC#: 801-120404
RIA
Registered Investment Advisory firm - (2/26/2021 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(4/19/2004)
RR
California(8/21/1986)
IAR
California(3/12/2021)
RR
Florida(3/18/1999)
RR
Hawaii(6/23/2009)
RR
Nevada(4/26/2000)
RR
Texas(1/13/2022)
IAR
Texas(4/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TB
THE BALDWIN GROUP WEALTH ADVISORS, LLC
BURNHAM GIBSON WEALTH ADVISORS, LLC | THE BALDWIN GROUP WEALTH ADVISORS, LLC | THE BALDWIN GROUP
CRD#: 312284 / SEC#: 801-120404
RIA
Registered Investment Advisory firm - (2/26/2021 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4211 W. Boy Scout Blvd. Suite 800, Tampa, FL 33607
Mailing Address
Phone number
(813) 934-2743
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,356 |
| AUM (Assets Under Management) | $ 21,043,141,324 |
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.
