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Claudia Ava Baggot

LPL Enterprise, LLC

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About Claudia Ava Baggot

Claudia Ava Baggot is a registered representative with LPL Enterprise, LLC. Claudia has been in the securities industry since 1992 and has a Series 7, Series 24, Series 63, and Series 66. Claudia offers various advisory services, including financial planning, portfolio management for individuals and businesses, and educational seminars. Claudia's prior experience includes roles at Pruco Securities, LLC, Prudential Insurance Company of America, and Toussaint Capital Partners, LLC.

Firm Information

Claudia Baggot is currently registered with LPL Enterprise, LLC. LPL Enterprise, LLC is a Limited Liability Company registered in South Carolina and formed on May 25, 2023. They offer financial planning, educational seminars, portfolio management for individuals and businesses, and other consulting and non-discretionary advisory services. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. They have a total of 55 registered representatives and 12 investment advisor representatives. The firm participates in wrap fee programs.
LPL Enterprise, LLC

1055 LPL WAY

FORT MILL, SC 29715

Not reported

Assets Under Management

Not reported

Total Clients

50

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Claudia Baggot’s Registration & Firm History

NY

10/21/2024 - Present

LPL Enterprise, LLC (STATEN ISLAND NY)

NJ

07/14/2011 - 12/06/2011

TOUSSAINT CAPITAL PARTNERS, LLC (FREEHOLD NJ)

NY

01/24/1990 - 04/06/2010

CAZENOVE INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 07/06/2024

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/02/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/27/1991

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Claudia Ava Baggot. Review regulatory record here.
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