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EB

Edward A. Baxter

Some features on this profile are disabled
CRD#: 1572529
EB

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.

Edward Antheal Baxter was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 1986. Edward had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 6, 2013 - May 6, 2014

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
ROWLETT, TX
Past

June 21, 2010 - December 22, 2010

EURO AMERICAN CAPITAL CORPORATION

BD
CRD#: 43711
DALLAS, TX
Past

February 13, 2009 - March 31, 2010

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 124446
ROWLETT, TX
Past

February 13, 2009 - March 31, 2010

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ROWLETT, TX
Past

April 1, 2008 - January 23, 2009

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
ROWLETT, TX
Past

April 1, 2008 - January 23, 2009

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
ROWLETT, TX
Past

September 25, 2007 - March 14, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
RICHARDSON, TX
Past

September 25, 2007 - March 14, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
RICHARDSON, TX
Past

August 8, 2007 - September 20, 2007

NFSG CORPORATION

RIA
CRD#: 130814
BOCA RATON, FL
Past

August 8, 2007 - September 20, 2007

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
GARLAND, TX
Past

August 19, 1998 - July 12, 2007

BROOKSTREET SECURITIES CORPORATION

RIA
CRD#: 14667
GARLAND, TX
Past

October 12, 1994 - July 12, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
GARLAND, TX
Past

June 30, 1989 - October 17, 1994

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

January 7, 1987 - March 19, 1988

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
Past

November 17, 1986 - December 12, 1986

FIDELITY DISTRIBUTORS CORPORATION

BD
CRD#: 6848

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/16/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/1/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/14/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/2/1995
General Securities Principal Examination

Current Firm

MF
MIDAMERICA FINANCIAL SERVICES, INC.
MIDAMERICA FINANCIAL SERVICES, INC. | STEELE INVESTMENT SERVICES, INC.

CRD#: 47351 / SEC#: , 8-51758

BD
Terminated by SEC on 01/05/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 04/05/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
S & M, LTD.SHAREHOLDER
DEEMER, BRUCE HARLANSECRETARY4590562
KELLER, MATTHEW BRIANPRESIDENT, CHIEF COMPLIANCE OFFICER5582015

Disclosures

Regulatory Event5

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

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

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