Ralph E. Baugher
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.
Ralph Edmond Baugher was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1985. Ralph had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 15, Series 5, Series 3 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2006 - May 6, 2009
JEFFERIES EXECUTION SERVICES, INC.
January 28, 2003 - April 30, 2015
JEFFERIES LLC
June 18, 2001 - November 6, 2002
J.P. MORGAN SECURITIES LLC
April 30, 2001 - June 28, 2001
ABN AMRO SECURITIES LLC
June 19, 2000 - April 30, 2001
ABN AMRO INCORPORATED
December 11, 1986 - June 24, 1994
CITIGROUP GLOBAL MARKETS INC.
March 19, 1985 - May 12, 1986
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 10/17/2001
Limited Representative-Equity Trader ExamSeries 15
Date: 4/11/1985
Foreign Currency Options ExaminationSeries 5
Date: 4/9/1985
Interest Rate Options ExaminationCurrent Firm
JEFFERIES EXECUTION SERVICES, INC.
CRD#: 867 / SEC#: , 8-2671
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
Red Flags
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