Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Baughman is a financial advisor with Stifel, Nicolaus & Company, Inc. Roger has been in the industry since 1985 and has experience with various financial services, including financial planning, portfolio management for individuals and businesses, and pension consulting. Prior to joining Stifel, Nicolaus & Company, Inc., Roger worked for Robert W. Baird & Co. Incorporated, J.J.B. Hilliard, W.L. Lyons, Inc., Everen Securities, Inc., and Prescott, Ball & Turben, Inc. Roger has a broad range of experience in the financial industry, and is dedicated to helping clients achieve their financial goals.
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
OH
07/13/2009 - Present
Stifel, Nicolaus & Company, Inc. (DUBLIN OH)
OH
11/02/2001 - 07/24/2009
ROBERT W. BAIRD & CO. INCORPORATED (COLUMBUS OH)
KY
11/23/1992 - 11/05/2001
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
MO
09/04/1990 - 12/16/1992
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
05/05/1988 - 09/04/1990
PRESCOTT, BALL & TURBEN, INC.
NY
05/23/1985 - 06/01/1988
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
BC
Issued 06/11/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/01/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/1985
Series 5 - Interest Rate Options Examination
BC
Issued 05/18/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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