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SHELLIE NICOLE BAUGH
SHELLIE N BAUGH, SHELLIE BAUGH, SHELLIE N WILHELM, Shellie Nicole Wilhelm
CRD#: 4609729
IA
B
J.P. MORGAN SECURITIES LLCCRD#: 79 20 WEST HIGH STREET
OXFORD, OH 45056
OXFORD, OH 45056
0
Disclosures
20
Years of Experience
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State Registrations
B
California 12/24/2020
IA
Ohio 1/2/2021
B
Ohio 1/2/2021
SRO Registrations
B
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IA
Registered with this firm since 1/2/2021
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Registered with this firm since 12/24/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/10/2020 - 12/18/2020 | EATON, OH | |
B | 06/26/2020 - 12/18/2020 | EATON, OH | |
B | 10/01/2012 - 02/12/2020 | MIDDLETOWN, OH | |
B | 07/06/2005 - 10/01/2012 | OXFORD, OH | |
B | 02/10/2004 - 07/06/2005 | CHICAGO, IL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.