CB
Chase J. Baute
MOLONEY SECURITIES ASSET MANAGEMENT LLC
Ellisville, MO 63021
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CRD#: 5987516
CB
Professional summary
Chase J Baute, who also goes by Chase James Baute, is a registered financial advisor currently at MOLONEY SECURITIES ASSET MANAGEMENT LLC located in Ellisville, Missouri and MOLONEY SECURITIES CO., INC. located in Ellisville, Missouri.
Chase is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Chase has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chase James Baute
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.
INVESTMENT SERVICES AND INSURANCE PRODUCTS. 16236 WESTWOODS BUSINESS PARK, ELLISVILLE, MO 63011. FULL TIME DURING SECURITIES TRADING HOURS. INVESTMENTS AND SECURITIES OFFERED THROUGH MOLONEY SECURITIES CO., INC.
CRS (Client Relationship Summary) - RIA
Click below to view Chase J Baute'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®
NoneExperience
Current
April 13, 2017 - Present
MOLONEY SECURITIES ASSET MANAGEMENT LLC
Office #1: 16236 Westwoods Business Park, Ellisville, MO 63021RIA
CRD#: 282448
Ellisville, MO
Current
March 10, 2017 - Present
MOLONEY SECURITIES CO., INC.
Office #1: 16236 Westwoods Business Park, Ellisville, MO 63021BD
CRD#: 38535
Ellisville, MO
Past
August 10, 2015 - September 1, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SPRINGFIELD, MO
Past
May 4, 2015 - September 1, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SPRINGFIELD, MO
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".
MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES
CRD#: 282448 / SEC#: 801-107149
RIA
Registered Investment Advisory firm - (12/31/2015 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(3/23/2021)
RR
California(11/9/2018)
RR
Colorado(5/22/2017)
RR
Florida(3/6/2018)
RR
Illinois(5/22/2017)
RR
Indiana(3/27/2023)
RR
Kansas(1/27/2020)
RR
Missouri(4/13/2017)
IAR
Missouri(4/13/2017)
RR
Nebraska(8/13/2025)
RR
North Carolina(4/28/2023)
RR
Pennsylvania(3/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES
CRD#: 282448 / SEC#: 801-107149
RIA
Registered Investment Advisory firm - (12/31/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
13537 Barrett Parkway Drive, Suite 300, Manchester, MO 63021
Mailing Address
Phone number
(314) 909-0600
Established
Firm type
Fiscal year end
# of Employees
77
SEC notice filing (50 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,390 |
| AUM (Assets Under Management) | $ 1,389,405,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 12/20/2023 | ||
| 12/22/2022 |
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.
Company Information
MOLONEY SECURITIES ASSET MANAGEMENT LLC
CRD#: 282448Ellisville, MO 63021TRUST BUT VERIFY
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