Joshua H. Baxa
Professional summary
Joshua Hughes Baxa, who also goes by Josh Hughes Baxa, is a registered financial advisor currently at PERMCAP INVESTMENT OFFICE located in Charleston, South Carolina.
Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Joshua has worked at 2 firms and has passed the Series 65, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Hughes Baxa's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2023 - Present
PERMCAP INVESTMENT OFFICE
Office #1: 10 Gillon Street, Charleston, SC 29401August 1, 2022 - April 4, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
PERMCAP INVESTMENT OFFICE
CRD#: 157476 / SEC#: 801-72416
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/23/2023)
(6/23/2023)
Exams
Series 6TO
Date: 8/1/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PERMCAP INVESTMENT OFFICE
CRD#: 157476 / SEC#: 801-72416
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 46 |
| AUM (Assets Under Management) | $ 4,932,477,414 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/04/2025 | ||
| 09/26/2024 | ||
| 11/02/2023 | ||
| 12/05/2022 |
Red Flags
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