Christopher Mark Baughan

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2011-12-20

MA RA
APPROVED

Since 2011-12-20

Branch Locations

Foxboro, MA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial	Foxborough	MA	12/2011	Present

12/2011 → Present

Lpl Financial

Foxborough, MA

Previous Registrations

2009-10-30 → 2011-12-22

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA

Attleboro, MA
2007-09-12 → 2009-10-23

Banc Of America Investment Services, Inc.

Boston, MA

Other Businesses

1. 12/19/11 - BAUGHAN WEALTH MANAGEMENT/ DBA ONLY/ FOXBORO, MA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-09-01
S65	Uniform Investment Adviser Law Examination	1999-05-07
S63	Uniform Securities Agent State Law Examination	1999-04-29

S66 Uniform Combined State Law Examination

2007-09-01
S65 Uniform Investment Adviser Law Examination

1999-05-07
S63 Uniform Securities Agent State Law Examination

1999-04-29

View on SEC IAPD