Stefan B. Baggao
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.
Stefan Blaine Baggao, who also goes by Blaine S Baggao, Blaine Stefan Baggao, was a registered financial professional .
Stefan is a previously registered financial professional and started their career in finance in 2011. Stefan had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2014 - July 25, 2016
NORTHSTAR SECURITIES, LLC
July 8, 2013 - September 22, 2014
WALTON SECURITIES, INC.
August 3, 2011 - April 22, 2013
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
NORTHSTAR SECURITIES, LLC
CRD#: 150409 / SEC#: , 8-68254
Contact information
Documents
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.
