Lionel J. Baugh
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.
Lionel John Baugh, who also goes by Lionel Baugh, was a registered financial professional .
Lionel is a previously registered financial professional and started their career in finance in 1993. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2012 - April 24, 2014
BRICKELL GLOBAL MARKETS, INC.
October 1, 2009 - October 18, 2012
LEVELX CAPITAL LLC
April 4, 2007 - July 8, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2006 - March 9, 2007
RBC CAPITAL MARKETS, LLC
January 17, 2006 - November 2, 2006
CREDICORP CAPITAL LLC
March 28, 2005 - August 22, 2005
STATETRUST INVESTMENTS INC.
December 4, 2002 - October 14, 2003
SCOTIA INTERNATIONAL, INC.
October 14, 1998 - July 12, 2001
CHARLES SCHWAB & CO., INC.
February 5, 1994 - October 29, 1997
INVERWORLD SECURITIES, INC.
March 15, 1993 - May 26, 1993
J.P. MORGAN SECURITIES INC.
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
Current Firm
BRICKELL GLOBAL MARKETS, INC.
CRD#: 104316 / SEC#: , 8-52776
Contact information
Documents
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 | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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