Jay Baumgardner, financial advisor Newport Beach CA
93 score

Jay Baumgardner

CRD Number: 1879453
Current Firm: J.p. Morgan Securities LLC

Jay Baumgardner (CRD# 1879453) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Newport Beach, CA and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Jpmorgan Chase Bank, N.a. Newport Beach, CA Oct 2010 - Current 6
J P Morgan Securities, Inc. Newport Beach, CA Jan 2009 - Current 7
Wachovia Securities, LLC Newport Beach, CA Mar 2008 - Jan 2009 < 1
Wells Fargo Bank Newport Beach, CA Apr 2005 - Mar 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2008
S65 NASAA Investment Advisors Law Examination Jun 1992
Contact Info for Jay D. Baumgardner
Phone Number: 800-999-2000
Firm Website: https://www.jpmorgan.com
Registered State(s):
  • CA
  • LA
  • NC
  • OH
  • OR
  • TX
By the Numbers
  • Total Assets Under Management
    70,743
    MILLIONS
  • Total Number of Accounts
    344,720
    ACCOUNTS
  • Average Account Value
    $205,219
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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