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Thomas Gilbert Baughman

Icapital Markets LLC

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About Thomas Gilbert Baughman

Thomas Baughman is a financial advisor with over 20 years of experience in the industry. Currently, Thomas is registered with iCapital Markets LLC and has been with them since December 2016. Previously, Thomas worked for several other firms including MCG Securities LLC, Financial Products, LLC, Midamerica Financial Services, Inc., Lancaster Pollard & Co., Advisors Asset Management, Inc., Linsco/Private Ledger Corp., and Putnam Retail Management Limited Partnership. Thomas holds a variety of licenses including Series 6, 7, 24, 63, and 66 and is registered in 51 states and the District of Columbia.

Firm Information

Thomas Baughman is currently registered with Icapital Markets LLC. Icapital Markets LLC is a Limited Liability Company that was formed on August 13, 2001. The company is registered in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Icapital Markets LLC is also registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

219

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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Thomas Baughman’s Registration & Firm History

NY

12/19/2016 - Present

Icapital Markets LLC (NEW YORK NY)

CA

04/06/2016 - 01/11/2017

MCG SECURITIES LLC (Atascadero CA)

NY

02/10/2012 - 04/18/2016

FINANCIAL PRODUCTS, LLC (NEW YORK NY)

MO

09/27/2011 - 02/01/2012

MIDAMERICA FINANCIAL SERVICES, INC. (JOPLIN MO)

OH

08/19/2008 - 04/01/2011

LANCASTER POLLARD & CO. (COLUMBUS OH)

CA

06/27/2005 - 08/12/2008

ADVISORS ASSET MANAGEMENT, INC. (SAN DIEGO CA)

SC

11/03/2003 - 06/21/2005

LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)

MA

11/13/2001 - 08/19/2003

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)

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Licenses & Designations

BOTH

Issued 11/04/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/10/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/25/2003

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/2003

Series 7 - General Securities Representative Examination

BC

Issued 11/12/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Gilbert Baughman.
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