Harry 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.
Harry Wickham Baxter was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1983. Harry had worked at 5 firms and has passed the Series 66, Series 63, Series 3, Series 7, Series 4, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 1996 - February 7, 2003
SCHOFF & BAXTER, INC.
August 26, 1993 - November 14, 1996
MORGAN STANLEY DW INC.
June 12, 1991 - August 26, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 1989 - June 10, 1991
PRUDENTIAL EQUITY GROUP, LLC
July 21, 1987 - June 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 20, 1983 - April 10, 1985
SCHOFF & BAXTER, INC.
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
Series 8
Date: 2/4/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHOFF & BAXTER, INC.
CRD#: 3290 / SEC#: , 8-16177
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
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.
