William J. Baxter
Professional summary
William Joseph Baxter IV, who also goes by Bill Baxter, Billy Baxter, William Baxter, is a registered financial advisor currently at BAXTER INVESTMENT MANAGEMENT located in Riverside, Connecticut.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. William has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Joseph Baxter IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 28, 2020 - Present
BAXTER INVESTMENT MANAGEMENT
Office #1: 1030 East Putnam Avenue, Riverside, CT 06878April 5, 2018 - December 23, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 2018 - December 23, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
BAXTER INVESTMENT MANAGEMENT
CRD#: 106548 / SEC#: 801-1939
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/28/2020)
Exams
Current Firm
BAXTER INVESTMENT MANAGEMENT
CRD#: 106548 / SEC#: 801-1939
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,032 |
| AUM (Assets Under Management) | $ 1,008,336,559 |
Red Flags
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