Roger Baughman, financial advisor Dublin OH
93 score

Roger Baughman

CRD Number: 1366277
Current Firm: Stifel, Nicolaus & Company, Incorporated

Roger Baughman (CRD# 1366277) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Dublin, OH and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Stifel Nicolaus & Co Inc. Dublin, OH Jul 2009 - Current 7
Robert W. Baird & Co Columbus, OH Nov 2001 - Jul 2009 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1985
Contact Info for Roger A. Baughman
Phone Number: 314-342-2000
Firm Website: http://www.stifel.com
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    38,401
    MILLIONS
  • Total Number of Accounts
    115,441
    ACCOUNTS
  • Average Account Value
    $332,650
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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