David F. Baugh
Professional summary
David Franklin Baugh is a registered financial professional currently at SPIDERROCK EXS, LLC located in Chicago, Illinois.
David is registered as a RR (Registered Representative) and started their career in finance in 1999. David has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 3, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Franklin Baugh's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 8, 2019 - Present
SPIDERROCK EXS, LLC
Office #1: 300 S. Riverside Plaza Suite 2350, Chicago, IL 60606January 7, 2015 - October 30, 2017
SUMO CAPITAL, LLC
November 5, 2010 - April 17, 2013
MATRIX EXECUTIONS, LLC
November 17, 2004 - August 10, 2005
E*TRADE SECURITIES LLC
October 30, 2003 - November 1, 2004
STOCKS 4 LESS, INC.
August 7, 2002 - October 30, 2003
NATIONAL CLEARING CORP.
July 26, 2000 - August 13, 2002
SHARE KING, LLC
November 8, 1999 - August 1, 2000
KIRLIN 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
(5/16/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/23/2011
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
SPIDERROCK EXS, LLC
CRD#: 148743 / SEC#: , 8-68062
Contact information
FINRA licenses (23 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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