Randall W. Baxter

ASSET POSITIONING SERVICES

Knoxville, TN 37923

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CRD#: 1188476

Professional summary

Randall Wallace Baxter is a registered financial advisor currently at ASSET POSITIONING SERVICES, LLC located in Knoxville, Tennessee.

Randall is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Randall has worked at 6 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

RANDALL BAXTER INSURANCE AGENCY-OWNER. SALES OF FIXED, INDEX, LIFE AND GROUP INSURANCE SALES. THE VETERAN NEXT DOOR RADIO SHOW HOST AND OWNER SOME ADVERTISING SALES SELF PUBLISHING/AUTHOR THE VETERAN NEXT DOOR BOOK 1939-1946 VOL.1 IS PUBLISHED WORKING ON VOL. 2 U S SENIOR VETS VOLUNTEER VETERAN ADVOCATE NO INCOME KNOXVILLE VETERANS MENTAL HEALTH COUNCIL COUNCIL MEMBER AND ADVISOR NO INCOME ESTATE DOCS PRO-TRAINING OF REVOCABLE TRUST SOFTWARE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Wallace Baxter's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 7, 2017 - Present

ASSET POSITIONING SERVICES, LLC

Office #1: 9041 Executive Park Drive Suite 250 Office 8, Knoxville, TN 37923

RIA

CRD#: 288986

Knoxville, TN

Past

August 7, 2014 - August 3, 2017

CREATIVEONE SECURITIES, LLC

RIA

CRD#: 152974

KNOXVILLE, TN

Past

September 5, 2013 - August 14, 2014

ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

RIA

CRD#: 162143

KNOXVILLE, TN

Past

March 25, 2010 - June 5, 2013

ASSET POSITIONING SERVICES, LLC.

RIA

CRD#: 152737

KNOXVILLE, TN

Past

May 28, 2008 - November 21, 2008

PEAK AMERICAN INVESTMENT ADVISORS, INC.

RIA

CRD#: 145056

KNOXVILLE, TN

Past

October 28, 1983 - May 12, 1992

NYLIFE SECURITIES LLC

CRD#: 5167

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(9/7/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/4/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/16/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 10/16/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/27/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASSET POSITIONING SERVICES, LLC

CRD#: 288986 / SEC#:

Tennessee

Registered Investment Advisory firm - (9/7/2017 Approved)

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Contact information

Main Address

9041 Executive Park Drive Suite 250 Office 8, Knoxville, TN 37923

Mailing Address

Phone number

(865) 525-2323

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Randall W. Baxter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Wallace Baxter's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSET POSITIONING SERVICES, LLC

CREATIVEONE SECURITIES, LLC

ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

ASSET POSITIONING SERVICES, LLC.

PEAK AMERICAN INVESTMENT ADVISORS, INC.

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/4/2008

Series 63

Date: 10/16/1984

Series 22

Date: 10/16/1984

Series 6

Date: 10/27/1983

Current Firm

ASSET POSITIONING SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASSET POSITIONING SERVICES, LLC

TRUST BUT VERIFY

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