RB
Richard R. Baxter
CANTOR FITZGERALD & CO.
New York, NY 10022
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CRD#: 2380149
RB
Professional summary
Richard Reynolds Baxter is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 10 firms and has passed the Series 63, Series 66, Series 65, Series 57TO, Series 79TO, Series 52TO, SIE, Series 55, Series 7, Series 3, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) NIGHTINGALE ADVISORS, INC; 5586 POST ROAD, SUITE 207 EAST GREENWICH, RI; START DATE:11/01/2020; INVESTMENT RELATED; REGISTERED INVESTMENT ADVISOR; OUTSIDE ADVISOR; PROVIDE STRATEGIC ADVICE AND ANALYSIS; 15-20 DEVOTED TO BUSINESS PER MONTH; 0 HOURS DEVOTED TO BUSINESS DURING TRADING HOURS.
2) EQUITY RISK SCIENCES, LLC; INVESTMENT RELATED; 5586 POST ROAD, SUITE 207 EAST GREENWICH, RI; START DATE: 11/1/2020; EQUITY RESEARCH AND ANALYSIS; OUTSIDE ADVISOR; ADVISING COMPANY ON STRATEGIC DECISIONS; 15-20 HOURS DEVOTED TO BUSINESS PER MONTH; 0 HOURS DURING TRADING HOURS.
CRS (Client Relationship Summary) - BD
Click below to view Richard Reynolds Baxter's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 4, 2019 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 5th Floor Dcm, New York, NY 10022Office #2: 6410 Poplar Avenue Suite 700, Memphis, TN 38119BD
CRD#: 134
New York, NY
Past
February 7, 2019 - July 6, 2023
CANTOR FITZGERALD INVESTMENT ADVISORS
RIA
CRD#: 159296
NEW YORK, NY
Past
July 9, 2012 - October 11, 2018
BREAN CAPITAL, LLC
BD
CRD#: 23723
NEW YORK, NY
Past
September 8, 2011 - July 25, 2012
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
December 1, 2009 - September 7, 2011
CABRERA CAPITAL MARKETS, LLC
BD
CRD#: 10081
NEW YORK, NY
Past
September 29, 2009 - December 1, 2009
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
October 16, 2007 - February 11, 2009
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
October 14, 2005 - July 24, 2008
PROVIDENCE INVESTMENT MANAGEMENT, LP
RIA
CRD#: 129848
PROVIDENCE, RI
Past
May 4, 1998 - March 4, 2003
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
November 24, 1993 - May 1, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(3/10/2020)
RR
New York(2/4/2019)
RR
Pennsylvania(6/9/2023)
RR
Tennessee(2/21/2019)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/7/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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.
