Gary S. 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.
Gary Stephen Baxter was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1972. Gary had worked at 11 firms and has passed the Series 63, SIE, Series 5, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2003 - November 30, 2016
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
January 4, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - January 7, 1999
IFMG SECURITIES, INC.
August 16, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
July 14, 1995 - May 30, 2003
NATCITY INVESTMENTS, INC.
July 6, 1990 - July 14, 1995
RAFFENSPERGER, HUGHES & CO., INC.
February 15, 1988 - July 30, 1990
LEHMAN BROTHERS INC.
September 24, 1982 - February 15, 1988
E. F. HUTTON & COMPANY INC
September 6, 1979 - October 29, 1982
MORGAN STANLEY DW INC.
September 26, 1978 - September 13, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 1972 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 3/7/1983
Interest Rate Options ExaminationSeries 1
Date: 8/7/1972
Registered Representative ExaminationSeries 12
Date: 11/20/1982
NYSE Branch Manager ExaminationCurrent Firm
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
CRD#: 8478 / SEC#: 801-63564, 8-25452
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICES HOLDINGS, LLC | SOLE SHAREHOLDER | |
| COKER, KAREN LE'ELLEN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PARKER, RICHARD WILSON | CEO | 5497397 |
| REYNOLDS, MATTHEW MARK | PRESIDENT / FINOP / PFO / POO/CCO | 4077413 |
| RUDNICK, REGINA MARY | HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
| TITAK, JAMES JOHN | CHAIRMAN OF THE BOARD | 1008441 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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