Donald B. 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.
Donald Blaine Baxter was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1971. Donald had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 1 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
August 18, 2005 - January 17, 2017
FIRST WESTERN ADVISORS
August 18, 2005 - January 17, 2017
FIRST WESTERN ADVISORS
September 23, 2002 - December 6, 2005
BTS ASSET MANAGEMENT, INC.
April 4, 2002 - August 10, 2005
SECU BROKERAGE SERVICES
January 3, 2000 - April 5, 2002
COMMONWEALTH FINANCIAL NETWORK
November 2, 1995 - January 14, 2000
CETERA WEALTH SERVICES, LLC
January 18, 1993 - November 1, 1995
SWBC INVESTMENT COMPANY
November 17, 1989 - December 31, 1992
CONSOLIDATED INVESTMENT SERVICES, INC.
March 27, 1989 - April 18, 1989
CONSOLIDATED INVESTMENT SERVICES, INC.
October 8, 1986 - October 28, 1989
METLIFE INVESTORS DISTRIBUTION COMPANY
July 8, 1977 - August 28, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 6, 1975 - January 8, 1976
ALPINE SECURITIES
December 13, 1971 - December 26, 1974
UNIVERSAL UNDERWRITING SERVICE, 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 1
Date: 12/3/1971
Registered Representative ExaminationCurrent Firm
FIRST WESTERN ADVISORS
CRD#: 13623 / SEC#: 801-58158, 8-28729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARMEL SANDS, LLC | MEMBER | |
| TERAN, GARY WAYNE | PRESIDENT / DIRECTOR / CEO | 1076442 |
| ANDERSEN, DEE ALLEN | DIRECTOR | 4360129 |
| BURTON, KIRK WATTIS | DIRECTOR | 6136394 |
| GUNDERSEN, BRIAN EDDINGTON | DIRECTOR | 6136404 |
| HOER, MICHAEL A. | DIRECTOR | 5902282 |
| LUNNEN, ROBERT C | DIRECTOR | 3168314 |
| PUGSLEY, MARK W. | DIRECTOR | 5902284 |
| SMART, DAVID HOLT | DIRECTOR | 6155332 |
| TERAN, JEFFREY WAYNE | FINOP | 4706241 |
| WADE, WILLIAM DAVID | DIRECTOR | 6136276 |
| WALLACE, EMILY MARVA | SECRETARY / TREASURER / DIRECTOR | 2907137 |
| WALLACE, EMILY MARVA | CHIEF COMPLIANCE OFFICER | 2907137 |
| WEISENBURGER, GUY DAVID | DIRECTOR | 6136400 |
Disclosures
| Regulatory 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.
