Peter J. Baughman
Professional summary
Peter John Baughman, who also goes by John Baughman, is a registered financial professional currently at NYLIFE SECURITIES LLC located in San Jose, California.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2006. Peter has worked at 5 firms and has passed the Series 63, Series 62, Series 99TO, Series 52TO, SIE, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter John Baughman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 9, 2023 - Present
NYLIFE SECURITIES LLC
Office #1: 550 S Winchester Blvd Suite 405, San Jose, CA 95128March 26, 2021 - August 30, 2023
HOULIHAN LOKEY CAPITAL, INC.
March 16, 2009 - June 26, 2020
BTIG, LLC
September 18, 2007 - December 31, 2008
GOLDMAN SACHS & CO. LLC
December 20, 2006 - September 18, 2007
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/9/2023)
Exams
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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