Thomas G. Baughman

ICAPITAL MARKETS LLC

New York, NY 10165

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CRD#: 4451778

Professional summary

Thomas Gilbert Baughman, who also goes by Thomas Gilbert Baughman, is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Gilbert 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Gilbert Baughman's CRS (Customer Relationship Summary).

Certified licenses

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

None

Experience

Current

December 19, 2016 - Present

ICAPITAL MARKETS LLC

Office #1: 60 East 42nd Street 26th Floor, New York, NY 10165

CRD#: 118219

New York, NY

Past

April 7, 2016 - January 11, 2017

BLUESTONE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 157841

Atascadero, CA

Past

April 6, 2016 - January 11, 2017

MCG SECURITIES LLC

CRD#: 163144

Atascadero, CA

Past

February 10, 2012 - April 18, 2016

FINANCIAL PRODUCTS, LLC

CRD#: 153479

NEW YORK, NY

Past

September 27, 2011 - February 1, 2012

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

JOPLIN, MO

Past

June 9, 2011 - January 31, 2012

AMERICAFIRST CAPITAL MANAGEMENT, LLC

RIA

CRD#: 152248

GRANITE BAY, CA

Past

August 20, 2008 - April 1, 2011

LANCASTER POLLARD INVESTMENT ADVISORY GROUP

RIA

CRD#: 112008

COLUMBUS, OH

Past

August 19, 2008 - April 1, 2011

LANCASTER POLLARD & CO., LLC

CRD#: 24110

COLUMBUS, OH

Past

June 27, 2005 - August 12, 2008

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

COLUMBUS, OH

Past

June 27, 2005 - August 12, 2008

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

SAN DIEGO, CA

Past

November 5, 2004 - June 21, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

November 3, 2003 - June 21, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

November 13, 2001 - August 19, 2003

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/8/2024)

Alaska
(5/21/2024)

Arizona
(5/31/2024)

Arkansas
(5/31/2024)

California
(12/19/2016)

Colorado
(1/17/2017)

Connecticut
(5/21/2024)

Delaware
(6/3/2024)

District of Columbia
(5/22/2024)

Florida
(5/22/2024)

Georgia
(5/22/2024)

Hawaii
(6/28/2024)

Idaho
(5/22/2024)

Illinois
(6/5/2024)

Indiana
(5/31/2024)

Iowa
(5/21/2024)

Kansas
(5/21/2024)

Kentucky
(6/3/2024)

Louisiana
(5/30/2024)

Maine
(5/21/2024)

Maryland
(6/14/2024)

Massachusetts
(6/14/2024)

Michigan
(8/15/2024)

Minnesota
(5/21/2024)

Mississippi
(5/21/2024)

Missouri
(7/23/2024)

Montana
(5/21/2024)

Nebraska
(5/21/2024)

Nevada
(5/21/2024)

New Hampshire
(6/14/2024)

New Jersey
(5/21/2024)

New Mexico
(5/21/2024)

New York
(1/11/2017)

North Carolina
(5/22/2024)

North Dakota
(5/29/2024)

Ohio
(5/21/2024)

Oklahoma
(5/30/2024)

Oregon
(6/24/2024)

Pennsylvania
(5/22/2024)

Rhode Island
(5/22/2024)

South Carolina
(5/22/2024)

South Dakota
(5/21/2024)

Tennessee
(5/22/2024)

Texas
(5/22/2024)

Utah
(5/21/2024)

Vermont
(6/24/2024)

Virginia
(6/20/2024)

Washington
(5/21/2024)

West Virginia
(5/23/2024)

Wisconsin
(5/21/2024)

Wyoming
(6/5/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/4/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/10/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/12/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/25/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ICAPITAL MARKETS LLC

AXIO FINANCIAL LLC | SCURA, RISE & PARTNERS SECURITIES, LLC | SCURA PARTNERS SECURITIES LLC | SCURA PALEY SECURITIES LLC | ICAPITAL MARKETS LLC

CRD#: 118219 / SEC#: , 8-53640

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

60 East 42nd Street 26th Floor, New York, NY 10165

Mailing Address

60 East 42nd Street 26th Floor, New York, NY 10165

Phone number

(646) 520-2020

Established

Delaware since 08/13/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ICAPITAL MARKETS HOLDING LLC	PARENT
GEORGE, THOMAS KEITH	FINOP	5378303
HOUSTON, STEPHEN HENRY	HEAD OF BROKER DEALER	1988668
MORGAN, COURTNEY	CHIEF COMPLIANCE OFFICER	6384535

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

Thomas G. Baughman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Gilbert Baughman's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLUESTONE CAPITAL MANAGEMENT, LLC

MCG SECURITIES LLC

FINANCIAL PRODUCTS, LLC

MIDAMERICA FINANCIAL SERVICES, INC.

AMERICAFIRST CAPITAL MANAGEMENT, LLC

LANCASTER POLLARD INVESTMENT ADVISORY GROUP

LANCASTER POLLARD & CO., LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

State Registrations and Notice Filings

Exams

Series 66

Date: 11/4/2004

Series 63

Date: 1/10/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/12/2003

Series 6

Date: 11/12/2001

Series 24

Date: 11/25/2003

FINRA

Current Firm

ICAPITAL MARKETS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ICAPITAL MARKETS LLC

TRUST BUT VERIFY

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