Berry D. Baxley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Berry Dale Baxley was a registered financial professional .
Berry is a previously registered financial professional and started their career in finance in 1982. Berry had worked at 4 firms and has passed the Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 1993 - July 7, 1993
PACIFIC CORTEZ SECURITIES INCORPORATED
May 22, 1990 - August 19, 1992
PRUDENTIAL EQUITY GROUP, LLC
January 30, 1990 - June 14, 1990
THE ROBINSON-HUMPHREY COMPANY, LLC
July 23, 1982 - February 7, 1990
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
PACIFIC CORTEZ SECURITIES INCORPORATED
CRD#: 24341 / SEC#: , 8-38514
Contact information
Documents
Red Flags
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