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John Kurt Baughman

Baughman Financial Group

Novato, CA

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Current Employers
Baughman Financial Group

7250 Redwood Blvd Suite 300, Novato, CA 94945 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-02-23
CA RA APPROVED 2008-10-22
  • TX RA
    APPROVED_RES
    Since 2023-02-23
  • CA RA
    APPROVED
    Since 2008-10-22

Branch Locations

7250 Redwood Blvd Suite 300, Novato, CA 94945 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Baughman Financial Group Novato CA 11/1999 Present
Baughman Wealth Advisors Inc. Novato CA 09/2008 Present
First Allied Securities, Inc. San Diego CA 12/2008 04/2018
  • 11/1999 → Present
    Baughman Financial Group
    Novato, CA
  • 09/2008 → Present
    Baughman Wealth Advisors Inc.
    Novato, CA
  • 12/2008 → 04/2018
    First Allied Securities, Inc.
    San Diego, CA
Previous Registrations
  • 2008-12-09 → 2012-07-02
    First Allied Securities, Inc.
    Austin, TX
    Red Bank, NJ
    Novato, CA
    San Diego, CA
  • 2003-01-31 → 2008-12-09
    First Montauk Securities Corp.
    Austin, TX
    Red Bank, NJ
Other Businesses

1) Baughman Wealth Advisors, Inc. DBA Baughman Financial Group; Full time; 160 hours a month; President/CCO;100% Owner; Started 11/06/2008.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-17
S63 Uniform Securities Agent State Law Examination 1992-07-15
  • S65 Uniform Investment Adviser Law Examination
    1992-07-17
  • S63 Uniform Securities Agent State Law Examination
    1992-07-15

View on SEC IAPD

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WELLS FARGO CLEARING SERVICES, LLC
CHARLES SCHWAB & CO., INC.
LPL FINANCIAL LLC
EDWARD JONES
J.P. MORGAN SECURITIES LLC

Other Investors

Glen Sherman Calkins
Courtenay A. Wise
Russell Wayne Ketron
KARIN DE MARIA ALVARADO
Chadwick Thomas Clarke
AARON MICHAEL COOPERBAND
GEOFFREY CARSON ADEN
SHAWN CAMPAS

Other Offices

KETRON FINANCIAL LLC · NOVATO, CA
OSAIC WEALTH, INC. · NOVATO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Novato, CA
WELLS FARGO CLEARING SERVICES, LLC · NOVATO, CA
CHARLES SCHWAB & CO., INC. · Novato, CA
LPL FINANCIAL LLC · NOVATO, CA
EDWARD JONES · NOVATO, CA
J.P. MORGAN SECURITIES LLC · Novato, CA

More in Novato, CA

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