Tina K. Baughman
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.
Tina Kay Baughman, who also goes by Tina K Baughman, was a registered financial advisor .
Tina is a previously registered financial advisor and started their career in finance in 1985. Tina had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2000 - January 2, 2001
GONOW SECURITIES, INC.
May 3, 2000 - September 30, 2003
SENTRA SECURITIES CORPORATION
December 22, 1999 - September 30, 2003
SENTRA SECURITIES CORPORATION
January 2, 1997 - January 7, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
January 7, 1993 - December 31, 1993
SENTRA SECURITIES CORPORATION
January 1, 1993 - December 31, 1996
SPELMAN & CO., INC.
January 21, 1992 - December 31, 1992
ADVANTAGE CAPITAL CORPORATION
July 15, 1991 - December 17, 1991
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 16, 1987 - July 15, 1991
FEDERATION FOR FINANCIAL INDEPENDENCE
November 5, 1986 - November 27, 1987
MERRIMAN CAPITAL, INC.
October 23, 1985 - September 20, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 23, 1985 - September 20, 1988
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GONOW SECURITIES, INC.
CRD#: 104020 / SEC#: 802-121582, 8-52483
Contact information
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 5/24/2021 |
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.
