Leann R. Baugh

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CRD#: 4624972

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.

Leann Rae Baugh, who also goes by Leann Rae Pounders, was a registered financial professional .

Leann is a previously registered financial professional and started their career in finance in 2003. Leann had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6, Series 24, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Leann Rae Pounders

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)

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®

None

Experience

Past

December 15, 2015 - January 18, 2018

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

November 19, 2014 - January 18, 2018

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

Colonial Heights, VA

Past

November 17, 2014 - December 15, 2015

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

Colonial Heights, VA

Past

June 17, 2008 - March 13, 2013

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

RICHMOND, VA

Past

July 12, 2006 - January 16, 2013

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

RICHMOND, VA

Past

September 2, 2005 - June 30, 2006

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

WOODBRIDGE, VA

Past

January 27, 2005 - September 2, 2005

FIRST COMMAND BANK

RIA

CRD#: 128851

FORT WORTH, TX

Past

January 28, 2003 - June 30, 2006

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

WOODBRIDGE, VA

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".

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 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 65

Date: 1/21/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/18/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 3/9/2009

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 1/27/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/27/2009

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 9/9/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/15/2006

Investment Company Products/Variable Contracts Principal Examination

Current Firm

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 Approved)

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Contact information

Main Address

1 Firstcomm Plaza, Fort Worth, TX 76109

Mailing Address

Po Box 2387, Fort Worth, TX 76113-2387

Phone number

(817) 731-8621

Established

Firm type

Fiscal year end

# of Employees

1,787

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP PROGRAM BROCHURE (10/30/2024)

DESCRIPTION OF SERVICES (10/30/2024)

Regulatory assets under management

Total Number of Accounts	110,166
AUM (Assets Under Management)	$ 22,090,760,499

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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Advisor Monitoring

Firm Stability Insights

Leann R. Baugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BANK

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

FIRST COMMAND ADVISORY SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 1/21/2005

Series 63

Date: 2/18/2003

SIE

Date: 1/18/2018

Series 62

Date: 3/9/2009

Series 6

Date: 1/27/2003

Series 24

Date: 7/27/2009

Series 51

Date: 9/9/2006

Series 26

Date: 8/15/2006

Current Firm

FIRST COMMAND ADVISORY SERVICES

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST COMMAND ADVISORY SERVICES

TRUST BUT VERIFY

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