Richard Baxt
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.
Richard Baxt, who also goes by Richard Frank Baxt, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, 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
February 27, 2020 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
January 10, 2006 - July 9, 2021
NATIONAL FINANCIAL SERVICES LLC
December 17, 1997 - August 13, 2003
JONES, BYRD, & ATTKISSON, INC.
October 9, 1997 - October 28, 2003
BISYS SHELF B/D (1), INC.
October 9, 1997 - October 28, 2003
BD COMPLIANCE SOLUTIONS, LLC
August 20, 1997 - February 2, 2004
FORESIDE DISTRIBUTION SERVICES, L.P.
January 1, 1996 - March 8, 1996
FIRST UNION BROKERAGE SERVICES, INC.
December 5, 1994 - January 1, 1996
FIRST FIDELITY BROKERS, INC.
November 26, 1991 - January 25, 1994
CITICORP INVESTMENT SERVICES
February 14, 1989 - November 26, 1991
CITICORP FINANCIAL SERVICES,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
Series 7TO
Date: 12/16/2022
General Securities Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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