Louis W. Baxley
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.
Louis Wade Baxley, who also goes by Louis W Baxley, Louis Wade Baxley, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 2002. Louis had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 52 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2017 - November 29, 2017
PNC MANAGED ACCOUNT SOLUTIONS, INC.
February 22, 2017 - November 29, 2017
BBVA SECURITIES INC.
January 26, 2016 - January 10, 2017
PRINCIPAL SECURITIES, INC.
January 15, 2015 - January 10, 2017
PRINCIPAL SECURITIES, INC.
June 19, 2012 - June 11, 2014
STERNE, AGEE & LEACH, INC.
April 25, 2012 - June 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2012 - June 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2005 - April 15, 2008
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 15, 2002 - November 3, 2005
STERNE, AGEE & LEACH, 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
PNC MANAGED ACCOUNT SOLUTIONS, INC.
CRD#: 110476 / SEC#: 801-56131
Contact information
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 588,442,024 |
Red Flags
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