Daniel C. Baxley
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.
Daniel Carl Baxley, who also goes by Danny Baxley, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 1994 - June 9, 1994
ROBERT THOMAS SECURITIES, INC
July 6, 1992 - December 31, 1993
INVEST FINANCIAL CORPORATION
June 23, 1992 - July 10, 1992
METROPOLITAN LIFE INSURANCE COMPANY
June 23, 1992 - July 10, 1992
MSI FINANCIAL SERVICES, INC.
August 6, 1991 - November 14, 1991
PEACHCAP SECURITIES, INC.
November 26, 1990 - April 16, 1991
BARKLEY-LOCKMAN INVESTMENTS INC.
April 16, 1990 - August 23, 1990
JOSEPHTHAL & CO., INC.
December 22, 1989 - April 26, 1990
H.J. MEYERS & CO., INC.
February 21, 1989 - December 22, 1989
FIRST ALLIANCE SECURITIES, INC.
July 1, 1988 - March 1, 1989
PROFILE INVESTMENTS CORPORATION
December 26, 1986 - July 11, 1988
CAPITOL SECURITIES MANAGEMENT, 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
ROBERT THOMAS SECURITIES, INC
CRD#: 10147 / SEC#: , 8-26680
Contact information
Documents
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.
