Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Baughman is a registered representative with Stifel, Nicolaus & Company, Inc. Amy has been in the securities industry since 2010. Amy is licensed to sell securities in 41 states and the District of Columbia. In addition to her Series 7 and Series 66 licenses, Amy holds the Securities Industry Essentials Examination (SIE) license. Amy is a member of the Financial Industry Regulatory Authority (FINRA). Amy has experience working with high-net-worth individuals, corporations, pooled investment vehicles, and other clients. Amy offers financial planning, portfolio management, and other investment advisory services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AL
10/04/2023 - Present
Stifel, Nicolaus & Company, Inc. (MOBILE AL)
FL
09/22/2021 - 03/17/2022
MORGAN STANLEY (PENSACOLA FL)
AL
06/04/2010 - 10/27/2020
MORGAN STANLEY (FAIRHOPE AL)
AL
05/19/2008 - 06/10/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FAIRHOPE AL)
BOTH
Issued 06/23/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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