George M. Baughman

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CRD#: 3082789

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.

George Michael Baughman, CFP®, who also goes by Michael Baughman, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 2001. George had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Baughman

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.

1) Tryon Daily Bulletin 16 N. Trade Street Tryon, NC 28782 2) Publishing, Non-investment related 3) Writer 4) 1/12/2017 5) 0 hrs/mo 6) 0 hrs/during trading hours 2) Musician PO Box 663 Tryon, NC 28782 2) Entertainment, non-investment related 3) Musician; play music for local restaurants, bars and events. 4) 1/12/2017 5) 0 hrs/mo 6) 0 hrs/during trading hours

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

CRD#: 33856

CHARLOTTE, NC

Past

March 22, 2001 - October 2, 2003

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MODERA WEALTH MANAGEMENT, LLC

MODERA ADVISORS OF CRYSTAL RIVER, LLC | MODERA WEALTH MANAGEMENT, LLC

CRD#: 155649 / SEC#: 801-71973

RIA

Registered Investment Advisory firm - (11/16/2010 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/28/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/9/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/25/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/21/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MODERA WEALTH MANAGEMENT, LLC

MODERA ADVISORS OF CRYSTAL RIVER, LLC | MODERA WEALTH MANAGEMENT, LLC

CRD#: 155649 / SEC#: 801-71973

RIA

Registered Investment Advisory firm - (11/16/2010 Approved)

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Contact information

Main Address

56 Jefferson Avenue, Westwood, NJ 07675

Mailing Address

Phone number

(201) 768-4600

Established

Firm type

Fiscal year end

# of Employees

219

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 24 2025 MWM FORM ADV PART 2A FINAL (3/24/2025)

Regulatory assets under management

Total Number of Accounts	20,833
AUM (Assets Under Management)	$ 15,510,482,152

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/20/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/25/2023	Cover Page	Report

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.

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Firm Stability Insights

George M. Baughman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARSEC FINANCIAL

MILLARD & COMPANY, INC.

ABACUS PLANNING GROUP, INC.

FIRST HORIZON ADVISORS, INC.

BB&T ASSET MANAGEMENT, INC.

BB&T INVESTMENT SERVICES, INC.

SEI INVESTMENTS DISTRIBUTION CO.

Primary Firm SEC Registration

MODERA WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/28/2004

Series 63

Date: 4/9/2001

Series 7

Date: 3/25/2002

Series 6

Date: 3/21/2001

Current Firm

MODERA WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MODERA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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