Richard N. Baggott
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.
Richard Norris Baggott was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 9 firms and has passed the Series 63, Series 7, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 1987 - November 17, 1988
TOLUCA PACIFIC SECURITIES CORP.
April 1, 1985 - December 26, 1986
ROBERT THOMAS SECURITIES, INC
December 14, 1983 - April 8, 1985
EMMETT A LARKIN COMPANY, INC.
October 22, 1982 - November 25, 1983
ACUMENT SECURITIES, INC.
September 3, 1980 - October 1, 1982
M.L. STERN & CO., LLC.
August 10, 1978 - October 3, 1980
CALIFORNIA MUNICIPAL INVESTORS, INC.
February 23, 1978 - September 21, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
February 23, 1978 - September 21, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
February 23, 1978 - September 21, 1978
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/13/1978
Registered Representative ExaminationCurrent Firm
TOLUCA PACIFIC SECURITIES CORP.
CRD#: 13875 / SEC#: , 8-29814
Contact information
Documents
Red Flags
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