Joseph J. 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.
Joseph John Baxter was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1974. Joseph had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 22, 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
April 1, 2004 - January 15, 2016
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
June 21, 2002 - January 27, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - January 27, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2002 - June 21, 2002
WACHOVIA SECURITIES, INC.
May 23, 1991 - June 15, 2002
WACHOVIA SECURITIES, INC.
July 2, 1981 - May 21, 1991
CITIGROUP GLOBAL MARKETS INC.
September 26, 1978 - July 22, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1974 - 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: 10/14/1981
Interest Rate Options ExaminationSeries 1
Date: 12/19/1973
Registered Representative ExaminationSeries 12
Date: 12/20/1980
NYSE Branch Manager ExaminationCurrent Firm
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
CRD#: 487 / SEC#: , 8-395
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO BANK, N.A. | MEMBER | |
| CLEWS, KENNETH JAMES | FINOP/PRINCIPAL FINANCIAL OFFICER | 4155852 |
| GALLO, NICOLE ELISE | CHIEF COMPLIANCE OFFICER | 4915541 |
| NICOLOSI, SEAN MICHAEL | PRINCIPAL OPERATIONS OFFICER, DIRECTOR | 4082275 |
| TABACK, ADAM IRA | PRESIDENT / DIRECTOR | 2378786 |
| WILLS-ZAPATA, TRACY CECILE | DIRECTOR | 2601580 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
