John Nicholas Baughan
Professional Summary
John Nicholas Baughan, who also goes by J Nicholas Baughan, Nick Baughan, is a registered financial advisor currently at MARKS BAUGHAN SECURITIES LLC located in Conshohocken, Pennsylvania. John is registered as a RR (Registered Representative) and started their career in finance in 1995. John has worked at 8 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
J Nicholas Baughan, Nick Baughan
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
31 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
MARKS BAUGHAN SECURITIES LLC | MARKS, BAUGHAN & CO. LLC
Contact Information
Main Address
161 Washington St., Suite 1390, Conshohocken, PA 19428Mailing Address
161 Washington St., Suite 1390, Conshohocken, PA 19428Phone Number
(610) 941-5647Established
Delaware since 03/09/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (16 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(2/25/2011)
(2/11/2013)
(9/27/2020)
(12/10/2015)
(7/29/2011)
(7/9/2014)
(2/28/2011)
(2/2/2016)
(2/25/2011)
(12/19/2011)
(2/25/2011)
(7/8/2014)
(3/7/2005)
(2/11/2013)
(9/10/2020)
(11/6/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Nicholas Baughan's CRS (Customer Relationship Summary).
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