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JB

John J. Baldeck

Some features on this profile are disabled
CRD#: 2402939
JB

Professional summary

John Joseph Baldeck was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, John had worked at 5 firms, which includes KMS FINANCIAL SERVICES INC., MORGAN STANLEY, MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., FIRST AFFILIATED SECURITIES.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 11, 2016 - November 6, 2018

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866
POST FALLS, ID
Past

July 6, 2016 - November 6, 2018

KMS FINANCIAL SERVICES, INC.

RIA
CRD#: 3866
POST FALLS, ID
Past

June 1, 2009 - June 10, 2016

MORGAN STANLEY

RIA
CRD#: 149777
COEUR D'ALENE, ID
Past

June 1, 2009 - June 10, 2016

MORGAN STANLEY

BD
CRD#: 149777
COEUR D'ALENE, ID
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SPOKANE, WA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SPOKANE, WA
Past

August 28, 1996 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SPOKANE, WA
Past

October 1, 1994 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
SPOKANE, WA
Past

January 4, 1994 - August 30, 1994

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/3/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/27/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/5/1994
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/1993
General Securities Representative Examination

Current Firm

KF
KMS FINANCIAL SERVICES, INC.
KMS FINANCIAL SERVICES, INC | KMS FINANCIAL SERVICES, INC.

CRD#: 3866 / SEC#: 801-11375, 8-15433

BD
Terminated by SEC on 01/17/2021
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2001 Sixth Ave Ste 2801, Seattle, WA 98121
Mailing Address
Phone number
Established
Washington since 11/21/1969
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

KMS ADV PART 2A BROCHURE 10-16-2020 (10/16/2020)
KMS APPENDIX 1 WRAP BROCHURE 10-16-2020 (10/16/2020)

Direct owners and executive officers

NamePositionCRD#
ADVISOR GROUP HOLDINGS, INC.SHAREHOLDER
BRETON, BERNARD ANDRECHIEF COMPLIANCE OFFICER2030660
FORD, ERINN JUNEPRESIDENT & CEO2176816
HARRINGTON, LINDA LEEVICE PRESIDENT OF ADVISORY COMPLIANCE4173014
SIMS, JEFFREY SCOTTCFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER3247374
ZELLERHOFF, MARK CHRISTOPHERSENIOR VICE PRESIDENT OF OPERATIONS2853977

Disclosures

Regulatory Event12
Arbitration3
Bond2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

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