Randall W. Baxter
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.
Randall Wallace Baxter was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1983. Randall had worked at 6 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2017 - December 31, 2025
ASSET POSITIONING SERVICES, LLC
August 7, 2014 - August 3, 2017
CREATIVEONE SECURITIES, LLC
September 5, 2013 - August 14, 2014
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC
March 25, 2010 - June 5, 2013
ASSET POSITIONING SERVICES, LLC.
May 28, 2008 - November 21, 2008
PEAK AMERICAN INVESTMENT ADVISORS, INC.
October 28, 1983 - May 12, 1992
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ASSET POSITIONING SERVICES, LLC
CRD#: 288986 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 218,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
