Alden L. 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.
Alden Loren Baxter was a registered financial professional .
Alden is a previously registered financial professional and started their career in finance in 1988. Alden had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 3, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2021 - September 9, 2021
INSIGNEO ADVISORY SERVICES, LLC
April 20, 2021 - September 9, 2021
INSIGNEO SECURITIES, LLC
October 31, 2016 - April 21, 2021
WELLS FARGO CLEARING SERVICES, LLC
October 25, 2016 - April 21, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 19, 2012 - December 2, 2014
MORGAN STANLEY
November 19, 2012 - December 2, 2014
MORGAN STANLEY
February 19, 2009 - September 12, 2012
CHASE INVESTMENT SERVICES CORP.
February 13, 2009 - September 12, 2012
CHASE INVESTMENT SERVICES CORP.
August 30, 1988 - January 29, 2009
CITIGROUP GLOBAL MARKETS INC.
June 21, 1988 - July 9, 1988
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
INSIGNEO ADVISORY SERVICES, LLC
CRD#: 282589 / SEC#: 801-107256
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
Series 7TO
Date: 1/31/2024
General Securities Representative ExaminationSeries 99TO
Date: 1/31/2024
Operations Professional ExaminationSeries 8
Date: 11/26/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INSIGNEO ADVISORY SERVICES, LLC
CRD#: 282589 / SEC#: 801-107256
Contact information
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,142 |
| AUM (Assets Under Management) | $ 3,612,629,819 |
Red Flags
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