Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy William Baughman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. He has been in the financial industry since 1993. Previously, Timothy Baughman worked at firms including CITIGROUP GLOBAL MARKETS INC., J.P. MORGAN SECURITIES LLC, VIANT CAPITAL LLC, STANFORD GROUP COMPANY, KAUFMAN BROS., L.P., JEFFERIES & COMPANY, INC., CHASE SECURITIES INC., HAMBRECHT & QUIST LLC and CS FIRST BOSTON CORPORATION. Timothy Baughman holds the following licenses and certifications: Series 63, Series 66, Series 24, Series 7 and SIE. He has been a registered representative of Merrill Lynch since 2015 and a registered investment advisor since 2015. Timothy Baughman is specialized in investment management for businesses and individuals. He is also specialized in performance measurement reports, allocation modeling, IPS, research reports and services and pension consulting.
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 05/30/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/23/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/22/1994
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
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
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