Jeffrey L. Baty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Lee Baty, who also goes by Jeff Lee Baty, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2000. Jeffrey had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2019 - October 29, 2025
EXENCIAL WEALTH ADVISORS
September 29, 2015 - November 19, 2019
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
October 8, 2008 - November 14, 2019
EIDE BAILLY ADVISORS, LLC
October 1, 2008 - October 1, 2015
SECURITIES AMERICA, INC.
October 10, 2007 - October 1, 2008
1ST GLOBAL ADVISORS INC
September 15, 2005 - October 1, 2008
1ST GLOBAL CAPITAL CORP.
July 6, 2005 - August 31, 2005
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - August 31, 2005
CHASE INVESTMENT SERVICES CORP.
November 18, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 20, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
November 3, 2000 - July 26, 2004
FIDELITY BROKERAGE SERVICES LLC
March 20, 2000 - August 30, 2000
IDS LIFE INSURANCE COMPANY
March 20, 2000 - August 30, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
EXENCIAL WEALTH ADVISORS
CRD#: 130475 / SEC#: 801-62789
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EXENCIAL WEALTH ADVISORS
CRD#: 130475 / SEC#: 801-62789
Contact information
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,357 |
| AUM (Assets Under Management) | $ 5,301,377,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 | ||
| 08/27/2024 | ||
| 11/20/2023 |
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.
