Scott M. 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.
Scott Marshall Baxter, who also goes by Scott M Baxter, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1994. Scott had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2013 - October 6, 2014
CONCORDE INVESTMENT SERVICES, LLC
December 13, 2011 - December 31, 2011
CONCORDE INVESTMENT SERVICES, LLC
August 1, 2008 - December 31, 2009
NATIONWIDE SECURITIES, LLC
February 25, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
March 15, 2001 - December 20, 2006
BRECEK & YOUNG ADVISORS, INC.
October 13, 2000 - March 6, 2001
DONAHUE SECURITIES, INC.
January 3, 2000 - February 20, 2008
GUSTAFSON BAXTER FINANCIAL SERVICES INC
January 11, 1995 - October 19, 2000
PRIM SECURITIES, INCORPORATED
April 13, 1994 - December 16, 1994
WARWICK SECURITIES, 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
Current Firm
CONCORDE INVESTMENT SERVICES, LLC
CRD#: 151604 / SEC#: , 8-68388
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONCORDE HOLDINGS INC. | OWNER / MANAGING MEMBER | |
| ARNOLD, AMY PERRYMAN | CHIEF DUE DILIGENCE OFFICER | 3037672 |
| DELONGCHAMP, DANIELLE LEIGH | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4901901 |
| GAKENHEIMER, JOHN HERBERT | REGISTERED OPTIONS PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL | 810171 |
| HOFER, KATHLEEN ANN | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1087639 |
| LOBERG, NICHOLAS | DIRECTOR OF BROKERAGE OPERATIONS | 6778518 |
| MCMURRY, KEITH | CHIEF OPERATIONS OFFICER | 5647966 |
| STACEY, JENNIFER LEIGH | CHIEF COMPLIANCE OFFICER | 2536581 |
| WOOLSON, NICOLE RENEE | DIRECTOR OF COMPLIANCE | 3143232 |
Disclosures
| Regulatory Event | 4 |
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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