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AB

Adam C. Baxter

STRATCAP SECURITIES
New York, NY 10112
Some features on this profile are disabled
CRD#: 6397313
AB

Professional summary

Adam Cale Baxter, who also goes by Adam Baxter, is a registered financial professional currently at STRATCAP SECURITIES, LLC located in New York, New York.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2015. Adam has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adam Baxter

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) - BD

Click below to view Adam Cale Baxter's 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

October 14, 2024 - Present

STRATCAP SECURITIES, LLC

Office #1: 30 Rockefeller Plaza, Suite 2050, New York, NY 10112
BD
CRD#: 151152
New York, NY
Past

June 1, 2018 - February 24, 2023

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
New York, NY
Past

October 27, 2015 - May 31, 2018

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/14/2024)
RR
Connecticut
(10/15/2024)
RR
New York
(10/15/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/27/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/3/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STRATCAP SECURITIES, LLC
SC DISTRIBUTORS, LLC | STRATCAP SECURITIES, LLC

CRD#: 151152 / SEC#: , 8-68338

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
30 Rockefeller Plaza, Suite 2050, New York, NY 10112
Mailing Address
30 Rockefeller Plaza, Suite 2050, New York, NY 10112
Phone number
(657) 383-9648
Established
Delaware since 03/31/2009
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STRATCAP, LLCMEMBER
CONDON, JAMES VALENTINECHIEF EXECUTIVE AND CHIEF OPERATING OFFICER4965433
LAROSE, JENNIFERCHIEF COMPLIANCE OFFICER3094139
ROSTVOLD, ERIK KJELLOPERATIONS MANAGER4384284
RYAN, KIMBERLY ANNFINOP4316310

Disclosures

Regulatory Event1

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.

Company Information

STRATCAP SECURITIES, LLC

CRD#: 151152New York, NY 10112

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