Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Baughman is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in New York, New York. Timothy began working in the securities industry in 1993. Timothy has held several positions in the past and has extensive experience with several firms. He is also registered with the state of California as an investment advisor representative.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
01/26/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
CA
05/24/2012 - 01/16/2015
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
CA
10/01/2010 - 05/11/2012
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
CA
11/24/2009 - 09/24/2010
VIANT CAPITAL LLC (SAN FRANCISCO CA)
CA
05/01/2006 - 09/24/2008
STANFORD GROUP COMPANY (SAN FRANCISCO CA)
CA
09/08/2004 - 05/26/2006
KAUFMAN BROS., L.P. (SAN FRANCISCO CA)
NY
03/19/2001 - 07/14/2004
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NY
02/01/2000 - 02/06/2001
CHASE SECURITIES INC. (NEW YORK NY)
CA
05/28/1997 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NY
01/23/1990 - 06/01/1995
CS FIRST BOSTON CORPORATION (NEW YORK NY)
BOTH
Issued 5/30/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/23/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/22/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/20/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Timothy Baughman is the right advisor for you? Invested Better is here to help.
Copyright 2024 Invested Better
Invested Better, LLC ("Invested Better") provides a matching service whereby users are connected with third-party financial advisors ("Advisors") who are registered and licensed as financial advisors in the United States and have elected to participate in our matching platform. Information provided by users through our online questionnaire facilitates the determination of suitable Advisor matches. Invested Better receives a set cost per lead compensation from Advisors in exchange for this referral service.
Please be advised that Invested Better does not evaluate the ongoing performance of any Advisor, nor does it participate in the management of user accounts or provide advice regarding specific investments. We do not manage client funds or hold assets in custody. Our role is solely to facilitate connections between users and potentially suitable financial advisors. All investing involves inherent risks, including the potential loss of principal. There is no guarantee that working with an advisor will result in positive returns. Potential downsides include the payment of fees, which can reduce overall returns. The existence of a fiduciary duty does not preclude the potential for conflicts of interest.
Invested Better maintains a directory of all actively registered financial advisors and firms based on the public filings with FINRA and SEC. Advisors and firms may verify their identity to claim and take control to update and edit their profile information. Invested Better does not guarantee the accuracy of any information updated by advisors or firms on their profile.
