John K. Baughman
Professional summary
John Kurt Baughman is a registered financial advisor currently at BAUGHMAN FINANCIAL GROUP located in Novato, California.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Kurt Baughman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2008 - Present
BAUGHMAN FINANCIAL GROUP
Office #1: 7250 Redwood Blvd Suite 300, Novato, CA 94945December 9, 2008 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
December 9, 2008 - April 2, 2018
FIRST ALLIED SECURITIES, INC.
January 31, 2003 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
January 31, 2003 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
February 14, 2001 - January 29, 2003
FISERV INVESTOR SERVICES, INC.
November 12, 1999 - February 20, 2001
CAPBAY FINANCIAL SERVICES
April 8, 1996 - November 15, 1999
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1993 - April 26, 1996
CITIGROUP GLOBAL MARKETS INC.
July 10, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/22/2008)
(2/23/2023)
Exams
Current Firm
BAUGHMAN FINANCIAL GROUP
CRD#: 148649 / SEC#: 801-69698
Contact information
Regulatory assets under management
| Total Number of Accounts | 139 |
| AUM (Assets Under Management) | $ 62,717,355 |
Red Flags
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