Lionel John Baugh
Professional Summary
Lionel John Baugh, who also goes by Lionel Baugh, was a registered financial advisor. Lionel was a previously registered financial professional and started their career in finance 1993 - 2014. Lionel had worked at 10 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 10, Series 9 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
Lionel Baugh
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
BRICKELL GLOBAL MARKETS, INC. | E.S. FINANCIAL SERVICES, INC.
Contact Information
Established
Florida since 02/23/2000Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANESCO USA | SHAREHOLDER | — |
| CUCCIA, GARY JOHN | FINOP/CONTACT PERSON FOR FORM BDW/CCO/EXECUTIVE REPRESEANTATIVE | 1386493 |
| ESCOTET, MARIA MERCEDES | DIRECTOR | — |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2006About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2006About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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