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JB

Jonathan Brian Biggs

CRD# 5433071·Registered 2011 - 2019
Previously Registered: Being a previously registered professional could mean that Jonathan 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.

Professional Summary

Jonathan Brian Biggs, who also goes by Jon Biggs, Jonathan B. Biggs, was a registered financial advisor. Jonathan was a previously registered financial professional and started their career in finance 2011 - 2019. Jonathan had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 79 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jon Biggs, Jonathan B. Biggs

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

15 years in the financial services industry

Current & Past Employments

GEORGE K. BAUM CAPITAL ADVISORS, INC.·CRD# 158813
BD
Kansas City, MO
January 26, 2012 - November 15, 2019
GEORGE K. BAUM ADVISORS LLC·CRD# 130205
RIA
Kansas City, MO
April 4, 2011 - February 21, 2012
GEORGE K. BAUM & COMPANY·CRD# 36354
BD
Kansas City, MO
January 31, 2011 - February 21, 2012

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Current Firm

GK
GEORGE K. BAUM CAPITAL ADVISORS, INC.

GEORGE K. BAUM CAPITAL ADVISORS, INC.

CRD#: 158813 / SEC#: 8-68927
BD
Terminated by SEC on 01/14/2020

Contact Information

Established

Missouri since 05/31/2011

Firm Type

Corporation

Fiscal Year End

October

Documents

Direct owners and executive officers

NamePositionCRD#
GEORGE K. BAUM HOLDINGS, INC.PARENT—
BAUM, JONATHAN EDWARDCEO1492485
BJORNSON, DANA LLOYDCFO, CCO, FINOP3112986
HANSON, CHRISTOPHER ROBERTDIRECTOR2781642
QUATROCHI, NICHOLAS JOSEPHPRINCIPAL, FINOP2463410

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Apr 2011About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2011About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2012About the Series 7 exam

Series 79 — Investment Banking Registered Representative Examination

Passed Jan 2011About the Series 79 exam

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CRS (Client Relationship Summary)

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

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