Best Investors Account Sign in

Roger Albert Baughman

Stifel, Nicolaus & Company, Incorporated

Dublin, OH

Claim This Profile
Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2009-07-13
  • OH RA
    APPROVED
    Since 2009-07-13

Branch Locations

6636 Longshore Street Suite 280, Dublin, OH 43017 • 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
Stifel Nicolaus & Co Inc Dublin OH 07/2009 Present
  • 07/2009 → Present
    Stifel Nicolaus & Co Inc
    Dublin, OH
Previous Registrations
Other Businesses

1. Roger Baughman LLC;984 Village Bluff Dr Columbus OH 43235;Condo Owner; 7/1/19; 1 hr/mo; not during securities trading hours; investment related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-06-11
  • S63 Uniform Securities Agent State Law Examination
    1985-06-11

View on SEC IAPD

Other Firms

KEELER & NADLER FAMILY WEALTH
PFS INVESTMENTS INC.
DELTA CAPITAL MANAGEMENT, INC.
MORGAN STANLEY
CETERA INVESTMENT ADVISERS LLC
BROOKSTONE WEALTH ADVISORS, LLC
VOYA FINANCIAL ADVISORS, INC.
GOLDEN RESERVE RETIREMENT, LLC

Other Investors

WILLIAM KEITH ROOT
Jacob Palmer Martin
Michael Klubnik
JESSICA ANNE Hultberg
Timothy Joseph Burkett
Abigail Rose
ANDREW PAUL KEELER
MARK D BEAVER

Other Offices

KEELER & NADLER FAMILY WEALTH · DUBLIN, OH
PFS INVESTMENTS INC. · DUBLIN, OH
PFS INVESTMENTS INC. · DUBLIN, OH
DELTA CAPITAL MANAGEMENT, INC. · DUBLIN, OH
MORGAN STANLEY · Dublin, OH
CETERA INVESTMENT ADVISERS LLC · DUBLIN, OH
BROOKSTONE WEALTH ADVISORS, LLC · Dublin, OH
VOYA FINANCIAL ADVISORS, INC. · Dublin, OH

More in Dublin, OH

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor