David 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.
David Baxt, who also goes by David Peter Baxt, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 5 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
January 15, 2020 - June 29, 2020
AVALON SECURITIES, LTD.
July 8, 2019 - August 21, 2019
CANTOR FITZGERALD & CO.
April 12, 2019 - May 30, 2019
IMPERIAL CAPITAL, LLC
July 30, 2008 - June 11, 2013
JEFFERIES LLC
June 8, 2000 - July 29, 2008
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 4/12/2019
Investment Banking Registered Representative ExaminationCurrent Firm
AVALON SECURITIES, LTD.
CRD#: 30522 / SEC#: , 8-44993
Contact information
Documents
Red Flags
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