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JB

Jeremy C. Baptiste

Some features on this profile are disabled
CRD#: 6561706
JB

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.

Jeremy Chance Baptiste, CFA, who also goes by Jeremy C Baptiste, was a registered financial professional .

Jeremy is a previously registered financial professional and started their career in finance in 2019. Jeremy had worked at 4 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeremy C Baptiste

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. TWIN OAKS REAL ESTATE; BUSINESS IS NOT INVESTMENT RELATED; 1375 LOCUST ST STE 201, WALNUT CREEK CA 94596; NATURE OF OTHER BUSINESS: REAL ESTATE; POSITION: REALTOR; START DATE: 12/1/21; 0 HRS DEVOTED DURING OTHER BUSINESS; 0 HRS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: NONE AT THIS TIME (NO INTENTION TO ACTIVELY ACT AS A REAL ESTATE AGENT). 2. U.C. BERKELEY HAAS SCHOOL OF BUSINESS; INVESTMENT RELATED; 2200 PIEDMONT AVE, BERKELEY CA 94720; NATURE OF OTHER BUSINESS: AS STUDENT LEADERS FROM ACROSS HAAS, OUR BOARD MEMBERS ARE A CRITICAL PART OF OUR INITIATIVE, DRIVING FORWARD OUR INNOVATION AND GOING BEYOND THEMSELVES TO PROMOTE IMPACT INVESTING AND SUSTAINABLE FINANCE IN OUR COMMUNITY; POSITION: BOARD MEMBER - STUDENT ADVISORY BOARD FOR THE SUSTAINABLE & IMPACT FINANCE INITIATIVE; START DATE: 1/1/23; 2 HRS/MONTHLY DEVOTED TO OTHER BUSINESS; 0 HRS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: CURRICULUM ADVISEMENT (PROPOSING CHANGES TO COURSES/OFFERING FEEDBACK ON THE CURRENT PROCESS AS I TAKE COURSES), HOLDING MEETINGS, EVENT SET UP.

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®
CFA

Chartered Financial Analyst

Experience

Past

May 19, 2023 - September 6, 2023

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 104599
MENLO PARK, CA
Past

May 19, 2023 - September 6, 2023

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

January 9, 2020 - April 24, 2023

CITY NATIONAL ROCHDALE

RIA
CRD#: 117198
San Francisco, CA
Past

October 25, 2019 - April 24, 2023

CNR SECURITIES, LLC

BD
CRD#: 18466
SAN FRANCISCO, CA

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".
KA
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC | KAYNE ANDERSON RUDNICK WEALTH ADVISORS | KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599 / SEC#: 801-24241

RIA
Registered Investment Advisory firm - (5/22/1985 Approved)

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
RR
Series 63
Date: 12/23/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/26/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/23/2019
Securities Industry Essentials Examination

Current Firm

KA
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC
KAYNE ANDERSON INVESTMENT MANAGEMENT LLC | KAYNE ANDERSON RUDNICK WEALTH ADVISORS | KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599 / SEC#: 801-24241

RIA
Registered Investment Advisory firm - (5/22/1985 Approved)
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Contact information

Main Address
2000 Avenue Of The Stars Suite 1110, Los Angeles, CA 90067
Mailing Address
Phone number
(310) 556-2721
Established
Firm type
Fiscal year end
# of Employees
119

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KAR ADV PART 2A 3/26/2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts27,435
AUM (Assets Under Management)$ 45,493,862,358

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

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599

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