Joshua L. 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.
Joshua Lee Baxter, who also goes by Joshua Baxter, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1998. Joshua had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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 15, 2010 - April 21, 2015
BOK FINANCIAL SECURITIES, INC.
October 2, 2007 - July 17, 2008
T.S. PHILLIPS INVESTMENTS, INC.
July 6, 2005 - September 7, 2007
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - September 7, 2007
CHASE INVESTMENT SERVICES CORP.
February 21, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 21, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
August 2, 2002 - March 10, 2003
VERAVEST INVESTMENTS, INC.
October 5, 2001 - July 18, 2002
UBS FINANCIAL SERVICES INC.
April 12, 2001 - July 18, 2002
UBS FINANCIAL SERVICES INC.
September 7, 2000 - March 27, 2001
AMERIPRISE ADVISOR SERVICES, INC.
June 9, 2000 - July 31, 2000
MARKET WISE SECURITIES, LLC
April 2, 1998 - August 4, 1998
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
BOK FINANCIAL SECURITIES, INC.
CRD#: 17530 / SEC#: 801-53600, 8-35381
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
BOK FINANCIAL SECURITIES, INC.
CRD#: 17530 / SEC#: 801-53600, 8-35381
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOK FINANCIAL CORPORATION | DIRECT BENEFICIAL OWNER | |
| DEAN, BRETT ALAN | PRESIDENT | 1716141 |
| DODSON, CATHERINE JOANNE | CFO/FINOP | 6857597 |
| GALLATIN, THOMAS COY | EXECUTIVE DIRECTOR, ENERGY BANKING | 5971928 |
| GRAUER, SCOTT BRADLEY | CEO, CHAIRMAN | 1509326 |
| MAHANEY, MINDY MARGARET | BOKFS BOARD MEMBER | 6403627 |
| PARRISH, REBECCA ROSE | CHIEF COMPLIANCE OFFICER | 6273251 |
| SHAW, JAMES AUGUSTUS | SVP, DIRECTOR OF RETAIL SALES | 1264136 |
| STEELE, JAMES BRADFORD | SVP, CHIEF OPERATING OFFICER | 6317520 |
| SWANSON, JON CRAIG | BOKFS BOARD MEMBER | 5010899 |
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 835,622,979 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
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.
