Raymond C. 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.
Raymond Clay Baxter, who also goes by Raymond Clay Baxter, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1990. Raymond had worked at 4 firms and has passed the Series 66, Series 63, SIE 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
February 17, 2015 - March 3, 2016
MODERN CAPITAL ADVISORS, LLC
February 17, 2015 - March 3, 2016
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
November 14, 2012 - December 22, 2014
LPL FINANCIAL LLC
November 13, 2012 - December 22, 2014
LPL FINANCIAL LLC
September 20, 1991 - November 23, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 1990 - November 23, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
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
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,561 |
| AUM (Assets Under Management) | $ 285,401,221 |
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.
