William J. Baxter
Professional summary
William Joseph Baxter III, who also goes by William Joseph Baxter, is a registered financial advisor currently at BAXTER INVESTMENT MANAGEMENT located in Greenwich, Connecticut.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. William has worked at 2 firms and has passed the Series 65, Series 63, Series 2 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Joseph Baxter III's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 1994 - Present
BAXTER INVESTMENT MANAGEMENT
Office #1: 1030 East Putnam Ave., Greenwich, CT 06836May 12, 1988 - January 18, 1989
GLICKENHAUS & CO.
Primary Firm SEC Registration
BAXTER INVESTMENT MANAGEMENT
CRD#: 106548 / SEC#: 801-1939
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/10/2003)
(7/15/2002)
Exams
Series 2
Date: 6/8/1994
Non-Member General Securities ExaminationCurrent Firm
BAXTER INVESTMENT MANAGEMENT
CRD#: 106548 / SEC#: 801-1939
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,032 |
| AUM (Assets Under Management) | $ 1,008,336,559 |
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.
