Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Baughman is a financial professional registered in North Carolina. Brian has been working in the securities industry since 2022. Currently, Brian is associated with DFA Securities LLC and previously worked at LPL Financial LLC. Brian holds a Series 7TO, Series 63, and SIE licenses.
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.
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.
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2
NC
06/15/2023 - Present
DFA Securities LLC (CHARLOTTE NC)
FL
08/09/2022 - 10/03/2022
LPL FINANCIAL LLC (TAMPA FL)
BC
Issued 07/03/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/09/2022
Series 7TO - General Securities Representative Examination
BC
Issued 06/10/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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