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Martin T. Baxter

NATALLIANCE SECURITIES
Delray Beach, FL 33444
Some features on this profile are disabled
CRD#: 1543898
MB

Professional summary

Martin Thomas Baxter II, who also goes by Martin Thomas Baxter, is a registered financial professional currently at NATALLIANCE SECURITIES, LLC located in Delray Beach, Florida.

Martin is registered as a RR (Registered Representative) and started their career in finance in 1986. Martin has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Martin Thomas Baxter

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Martin Thomas Baxter II's CRS (Customer Relationship Summary).
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

April 28, 2016 - Present

NATALLIANCE SECURITIES, LLC

Office #1: 301 W. Atlantic Ave, Ste 0-8, Delray Beach, FL 33444
BD
CRD#: 39455
Delray Beach, FL
Past

October 31, 2013 - May 2, 2014

HILLTOP SECURITIES INC.

BD
CRD#: 6220
MCLEAN, VA
Past

September 6, 2012 - April 15, 2013

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
WASHINGTON, DC
Past

March 26, 2002 - August 27, 2012

AMHERST SECURITIES GROUP, L.P.

BD
CRD#: 31141
MCLEAN, VA
Past

December 4, 1995 - April 8, 2002

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

July 29, 1987 - October 29, 1987

PAINEWEBBER REAL ESTATE SECURITIES INC.

BD
CRD#: 19736
Past

November 18, 1986 - November 30, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/28/2016)
RR
Connecticut
(4/28/2016)
RR
District of Columbia
(4/28/2016)
RR
Illinois
(8/19/2024)
RR
Kansas
(4/28/2016)
RR
Kentucky
(4/28/2016)
RR
Maryland
(4/28/2016)
RR
Massachusetts
(4/28/2016)
RR
Missouri
(8/19/2024)
RR
New Hampshire
(8/20/2018)
RR
New Jersey
(4/28/2016)
RR
New Mexico
(8/19/2024)
RR
New York
(4/28/2016)
RR
North Carolina
(4/28/2016)
RR
Ohio
(4/28/2016)
RR
Pennsylvania
(4/28/2016)
RR
Texas
(4/28/2016)
RR
Virginia
(4/28/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 1/23/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/3/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NATALLIANCE SECURITIES, LLC
NATALLIANCE INVESTMENT BANKING | SINEX SECURITIES, LLC. | NATIONAL ALLIANCE SECURITIES, LLC | NATIONAL ALLIANCE SECURITIES CORPORATION | NATIONAL ALLIANCE CAPITAL, LLC | NATALLIANCE SECURITIES, LLC | NATALLIANCE SECURITIES

CRD#: 39455 / SEC#: , 8-48723

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
3101 Bee Cave Rd Suite 800, Austin, TX 78701
Mailing Address
3101 Bee Cave Rd Suite 270, Austin, TX 78746
Phone number
(512) 609-1700
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NATALLIANCE HOLDING COMPANY LLCOWNER
ADAMS, JASONBOARD MEMBER2690575
BRENNER, ANDREW SCOTTBOARD MEMBER1227535
BUSH, FRED COSTONCFO/COO3075024
CARREON, MICHELLE ELLISCCO4861485
GIORDANO, MICHAEL JAMESBOARD MEMBER5942248
HENDRICKSON, GEORGE ALEXANDER BROWNBOARD MEMBER2382347
LIEPMAN, JOHN FRANCISBOARD MEMBER2037298
LOERCH, SAMUEL JAMESBOARD MEMBER1195328
SALTER, MARK MYLESBOARD MEMBER/CEO/PRESIDENT1180139
TAYLOR, BRADFORD STEPHENBOARD MEMBER5751455

Disclosures

Regulatory Event8

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.

Company Information

NATALLIANCE SECURITIES, LLC

CRD#: 39455Delray Beach, FL 33444

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