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Peter John Baughman

Nylife Securities LLC

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About Peter John Baughman

Peter Baughman is a financial advisor with Nylife Securities LLC. Peter has been in the financial industry since 2008 and has a strong track record of success. Peter is registered with FINRA and the state of California. Peter holds the Series 3, 7, 24, 52TO, 53, 62, 63, 99TO, and SIE licenses. Peter's areas of expertise include investments, retirement planning, and estate planning.

Firm Information

Peter Baughman is currently registered with Nylife Securities LLC. Nylife Securities LLC is a Limited Liability Company formed in 2007, registered in 51 states and the SEC. The firm has been involved in 13 regulatory events and 7 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

4,464

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.

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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Peter Baughman’s Registration & Firm History

CA

10/09/2023 - Present

Nylife Securities LLC (SAN JOSE CA)

CA

03/26/2021 - 08/30/2023

HOULIHAN LOKEY CAPITAL, INC. (LOS ANGELES CA)

CA

03/16/2009 - 06/26/2020

BTIG, LLC (SAN FRANCISCO CA)

NY

09/18/2007 - 12/31/2008

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

12/20/2006 - 09/18/2007

UBS SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/13/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/26/2009

Series 24 - General Securities Principal Examination

BC

Issued 03/26/2007

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 62 - Corporate Securities Limited Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/20/2011

Series 3 - National Commodity Futures Examination

BC

Issued 12/19/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Peter John Baughman.
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