Harrison W. 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.
Harrison William Baxter, who also goes by Harrison Baxter, was a registered financial professional .
Harrison is a previously registered financial professional and started their career in finance in 2018. Harrison had worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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, 2022 - May 23, 2023
MAINSAIL FINANCIAL GROUP
December 13, 2021 - April 1, 2022
COMMONWEALTH FINANCIAL NETWORK
December 13, 2021 - April 1, 2022
COMMONWEALTH FINANCIAL NETWORK
January 3, 2019 - December 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 2018 - December 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MAINSAIL FINANCIAL GROUP
CRD#: 317970 / SEC#: 801-123307
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
Series 7TO
Date: 11/28/2018
General Securities Representative ExaminationCurrent Firm
MAINSAIL FINANCIAL GROUP
CRD#: 317970 / SEC#: 801-123307
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 892 |
| AUM (Assets Under Management) | $ 268,191,466 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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