Derek H. Baugh

BAUGH & ASSOCIATES

Atlanta, GA 30328

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CRD#: 7467360

Professional summary

Derek Hunter Baugh is a registered financial advisor currently at BAUGH & ASSOCIATES, LLC located in Atlanta, Georgia.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Derek has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Derek Hunter Baugh's CRS (Customer Relationship Summary).

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

January 20, 2022 - Present

BAUGH & ASSOCIATES, LLC

Office #1: 6065 Roswell Rd Suite 980, Atlanta, GA 30328

RIA

CRD#: 136342

Atlanta, GA

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".

BAUGH & ASSOCIATES, LLC

BAUGH & ASSOCIATES, LLC | NONE

CRD#: 136342 / SEC#: 801-64569

RIA

Registered Investment Advisory firm - (8/5/2005 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(1/20/2022)

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: 12/18/2021

Uniform Investment Adviser Law Examination

Current Firm

BAUGH & ASSOCIATES, LLC

BAUGH & ASSOCIATES, LLC | NONE

CRD#: 136342 / SEC#: 801-64569

RIA

Registered Investment Advisory firm - (8/5/2005 Approved)

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Contact information

Main Address

6065 Roswell Rd Suite 980, Atlanta, GA 30328

Mailing Address

Phone number

(404) 256-0268

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAUGH & ASSOCIATES, LLC FIRM BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	432
AUM (Assets Under Management)	$ 264,275,747

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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Derek H. Baugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Hunter Baugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAUGH & ASSOCIATES, LLC

Primary Firm SEC Registration

BAUGH & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2021

Current Firm

BAUGH & ASSOCIATES, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAUGH & ASSOCIATES, LLC

TRUST BUT VERIFY

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