John C. Baxter

BAXTER INVESTMENT MANAGEMENT

GREENWICH, CT 06838

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CRD#: 4136822

Professional summary

John C Baxter is a registered financial advisor currently at BAXTER INVESTMENT MANAGEMENT located in Greenwich, Connecticut.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. John has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John C Baxter's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 24, 2003 - Present

BAXTER INVESTMENT MANAGEMENT

Office #1: 1030 East Putnam Ave. Box 2200, Greenwich, CT 06838

RIA

CRD#: 106548

GREENWICH, CT

Past

June 19, 2000 - April 24, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BAXTER INVESTMENT MANAGEMENT

BAXTER BROTHERS INC. | BAXTER INVESTMENT MANAGEMENT

CRD#: 106548 / SEC#: 801-1939

RIA

Registered Investment Advisory firm - (5/1/1959 Approved)

Texas

Registered Investment Advisory firm - (6/10/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(4/24/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/23/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/8/2000

General Securities Representative Examination

Current Firm

BAXTER INVESTMENT MANAGEMENT

BAXTER BROTHERS INC. | BAXTER INVESTMENT MANAGEMENT

CRD#: 106548 / SEC#: 801-1939

RIA

Registered Investment Advisory firm - (5/1/1959 Approved)

Texas

Registered Investment Advisory firm - (6/10/2002 Terminated)

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Contact information

Main Address

1030 East Putnam Avenue, Riverside, CT 06878

Mailing Address

Phone number

(203) 637-4559

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAXTER INVESTMENT MANAGEMENT ADV PART II (3/24/2025)

Regulatory assets under management

Total Number of Accounts	1,032
AUM (Assets Under Management)	$ 1,008,336,559

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.

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John C. Baxter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John C Baxter's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAXTER INVESTMENT MANAGEMENT

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

BAXTER INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2000

Series 7

Date: 5/8/2000

Current Firm

BAXTER INVESTMENT MANAGEMENT

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAXTER INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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