Connor D. Baughman
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.
Connor David Baughman, who also goes by Connor Baughman, was a registered financial professional .
Connor is a previously registered financial professional and started their career in finance in 2017. Connor had worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2021 - July 20, 2021
DELOITTE CORPORATE FINANCE LLC
April 17, 2019 - March 19, 2021
PRUCO SECURITIES, LLC.
September 29, 2017 - March 19, 2021
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 4/7/2021
General Securities Representative ExaminationCurrent Firm
DELOITTE CORPORATE FINANCE LLC
CRD#: 111747 / SEC#: , 8-53196
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
