Milton V. Bauguess
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.
Milton Vaughn Bauguess, who also goes by Milt Bauguess, was a registered financial professional .
Milton is a previously registered financial professional and started their career in finance in 1971. Milton had worked at 11 firms and has passed the Series 65, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2004 - January 20, 2005
INTERVEST INTERNATIONAL EQUITIES CORPORATION
April 1, 2002 - March 18, 2004
USALLIANZ SECURITIES, INC.
July 16, 1999 - May 31, 2000
OGILVIE SECURITY ADVISORS CORPORATION
December 24, 1996 - July 16, 1999
INTERVEST INTERNATIONAL EQUITIES CORPORATION
December 2, 1993 - December 30, 1994
JOHN HANCOCK DISTRIBUTORS LLC
November 29, 1990 - December 5, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 29, 1990 - December 5, 1991
PRUCO SECURITIES, LLC.
May 1, 1987 - October 7, 1989
PW SECURITIES, INC.
April 13, 1976 - February 7, 1978
AMERICAN GENERAL EQUITY SERVICES CORPORATION
September 2, 1975 - July 30, 1977
NEW ENGLAND SECURITIES
September 29, 1972 - November 23, 1972
CNA INVESTOR SERVICES, INC.
September 7, 1972 - July 5, 1974
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 12, 1971 - October 18, 1972
NEW ENGLAND SECURITIES
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
Series 1
Date: 8/9/1971
Registered Representative ExaminationCurrent Firm
INTERVEST INTERNATIONAL EQUITIES CORPORATION
CRD#: 20289 / SEC#: , 8-38156
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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