James O. Baxter
Professional summary
James Oakley Baxter JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, James had worked at 5 firms, which includes USLIFE EQUITY SALES CORP., LINSCO FINANCIAL GROUP INC., RADFORD CAPITAL CORPORATION, CARDELL & ASSOCIATES INCORPORATED, LEHMAN BROTHERS DISTRIBUTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 1991 - February 13, 1997
USLIFE EQUITY SALES CORP.
January 15, 1987 - October 4, 1989
LINSCO FINANCIAL GROUP, INC.
January 7, 1987 - January 15, 1987
RADFORD CAPITAL CORPORATION
May 15, 1985 - June 10, 1986
CARDELL & ASSOCIATES, INCORPORATED
January 5, 1984 - December 28, 1984
LEHMAN BROTHERS DISTRIBUTORS INC.
State Registrations and Notice Filings
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Exams
Current Firm
USLIFE EQUITY SALES CORP.
CRD#: 7962 / SEC#: , 8-13882
Contact information
Documents
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