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JB

John N. Baughan

MARKS BAUGHAN SECURITIES LLC
Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 1902500
JB

Professional summary

John Nicholas Baughan, who also goes by J Nicholas Baughan, Nick Baughan, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

J Nicholas Baughan | Nick Baughan

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Nicholas Baughan's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 25, 2005 - Present

MARKS BAUGHAN SECURITIES LLC

Office #1: 161 Washington St., Suite 1390, Conshohocken, PA 19428Office #2: 161 Washington St., Suite 1390, Conshohocken, PA 19428
BD
CRD#: 132652
Conshohocken, PA
Past

March 9, 2004 - March 9, 2005

GCC-PROSPECT CORPORATION

BD
CRD#: 124728
FAIRFAX, VA
Past

November 3, 2000 - September 23, 2002

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

June 26, 2000 - June 9, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

April 22, 1999 - May 25, 2000

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

November 28, 1997 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

August 19, 1997 - April 15, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 6, 1995 - December 13, 1996

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/25/2011)
RR
Connecticut
(2/11/2013)
RR
Delaware
(9/27/2020)
RR
Georgia
(12/10/2015)
RR
Illinois
(7/29/2011)
RR
Kansas
(7/9/2014)
RR
Massachusetts
(2/28/2011)
RR
Michigan
(2/2/2016)
RR
Minnesota
(2/25/2011)
RR
New Jersey
(12/19/2011)
RR
New York
(2/25/2011)
RR
Oregon
(7/8/2014)
RR
Pennsylvania
(3/7/2005)
RR
Texas
(2/11/2013)
RR
Virginia
(9/10/2020)
RR
Washington
(11/6/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/24/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MB
MARKS BAUGHAN SECURITIES LLC
MARKS BAUGHAN SECURITIES LLC | MARKS, BAUGHAN & CO. LLC

CRD#: 132652 / SEC#: , 8-66615

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
161 Washington St., Suite 1390, Conshohocken, PA 19428
Mailing Address
161 Washington St., Suite 1390, Conshohocken, PA 19428
Phone number
(610) 941-5647
Established
Delaware since 03/09/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BAUGHAN, JOHN NICHOLASMANAGING MEMBER / CCO1902500
TAKEUCHI, WILLIAM JUNCHIEF OPERATING OFFICER2931748
THORNTON, STEVEN LEEFINOP4496384

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.

Company Information

MARKS BAUGHAN SECURITIES LLC

CRD#: 132652Conshohocken, PA 19428

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