Ralph Edmond Baugher
Professional Summary
Ralph Edmond Baugher was a registered financial advisor. Ralph was a previously registered financial professional and started their career in finance 1985 - 2009. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
HELFANT GROUP, INC. | WAGENSELLER & DURST, INC. | W & D SECURITIES, INC. | JEFFERIES EXECUTION SERVICES, INC.
Contact Information
Established
California since 10/31/1947Firm Type
CorporationFiscal Year End
NovemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 2001Series 15 — Foreign Currency Options Examination
Passed Apr 1985Series 5 — Interest Rate Options Examination
Passed Apr 1985Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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