Peter 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.
Peter Byrne Baxter, who also goes by Peter Byrne Baxter, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1992. Peter had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2007 - December 3, 2013
MOODY CAPITAL SOLUTIONS, INC
December 11, 2001 - July 20, 2007
MIDSOUTH CAPITAL, INC.
May 4, 2000 - December 12, 2001
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 8, 1997 - May 4, 2000
THE MALACHI GROUP, INC.
May 23, 1997 - June 16, 1997
THE MALACHI GROUP, INC.
March 29, 1996 - June 23, 1997
H.J. MEYERS & CO., INC.
April 6, 1995 - May 22, 1996
FELTMAN & CO
August 13, 1993 - March 31, 1995
MORGAN STANLEY DW INC.
March 22, 1993 - September 14, 1993
THE STAMFORD COMPANY, INC.
March 8, 1993 - March 24, 1993
ARGENT SECURITIES, INC.
October 11, 1992 - March 23, 1993
LEHMAN BROTHERS 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
Current Firm
MOODY CAPITAL SOLUTIONS, INC
CRD#: 15989 / SEC#: , 8-32928
Contact information
FINRA licenses (9 States and Territories)
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.
