C S. 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.
C Scott Baxter, who also goes by Scott Baxter, Clinton Scott Baxter, was a registered financial professional .
C is a previously registered financial professional and started their career in finance in 1989. C had worked at 10 firms and has passed the Series 63, Series 79TO, 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
March 11, 2022 - November 21, 2023
TOBIN & COMPANY SECURITIES LLC
September 17, 2020 - April 29, 2021
BRG CAPSTONE CAPITAL ADVISORS
November 15, 2019 - July 7, 2020
M&A SECURITIES GROUP, INC.
August 19, 2016 - August 31, 2018
DC ADVISORY
July 9, 2013 - May 23, 2016
PETRIE PARTNERS SECURITIES, LLC
June 20, 2012 - November 20, 2012
GOTTBETTER CAPITAL MARKETS, LLC
November 20, 2007 - July 2, 2010
HOULIHAN LOKEY CAPITAL, INC.
August 16, 1999 - November 28, 2001
J.P. MORGAN SECURITIES INC.
November 28, 1997 - July 20, 1999
CITIGROUP GLOBAL MARKETS INC.
September 19, 1989 - September 1, 1998
SALOMON BROTHERS 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
TOBIN & COMPANY SECURITIES LLC
CRD#: 137918 / SEC#: , 8-67134
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOBIN & COMPANY INVESTMENT BANKING GROUP LLC | PARENT COMPANY | |
| TOBIN, JUSTINE EIDT | CHIEF COMPLIANCE OFFICER | 1641345 |
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.
