Robert Karl Baugh

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1995 → 07/2019
  Planto Roe & Assoc
  San Antonio, TX
• 01/1995 → 08/2023
  Minnesota Life
  St Paul, MN
• 03/1995 → 08/2023
  Securian Financial Services, Inc.
  St Paul, MN
• 08/2023 → Present
  Cetera Wealth Services, Llc
  San Antonio, TX
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 1995-04-18 → 2023-08-10
  Securian Financial Services, Inc.
  San Antonio, TX
  San Antonio, TX
  San Antonio, TX
  Houston, TX
  St. Paul, MN

Other Businesses

IMG FINANCIAL GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2019 ADDRESS: , San Antonio TX , United States DESCRIPTION: Agent/Broker OAK HILLS COUNTRY CLUB POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2020 ADDRESS: 5403 Fredericksburg Road, San Antonio TX 78229, United States DESCRIPTION: As a board member, I serve to discuss, propose and/orimplement policies for the ongoing financial viability of the club for the best interest of its members.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-15
• S63 Uniform Securities Agent State Law Examination
  1995-04-13

Designations

• Chartered Financial Consultant

Other Names

• Bobby Karl Baugh