Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Baxter is a financial professional with over 25 years of experience in the industry. Richard is currently registered with Cantor Fitzgerald & Co. and has held previous roles at firms such as Brean Capital, LLC, Gleacher & Company Securities, Inc., and Goldman, Sachs & Co. Richard holds a variety of licenses including Series 3, 7, 24, 52TO, 53, 55, 57TO, 63, 65, 66, and 79TO. Richard is licensed to conduct business in Massachusetts, New York, Pennsylvania, and Tennessee.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
02/04/2019 - Present
Cantor Fitzgerald & Co. (NEW YORK NY)
NY
07/09/2012 - 10/11/2018
BREAN CAPITAL, LLC (NEW YORK NY)
NY
09/08/2011 - 07/25/2012
GLEACHER & COMPANY SECURITIES, INC. (NEW YORK NY)
NY
12/01/2009 - 09/07/2011
CABRERA CAPITAL MARKETS, LLC (NEW YORK NY)
NY
09/29/2009 - 12/01/2009
MAXIM GROUP LLC (NEW YORK NY)
RI
10/16/2007 - 02/11/2009
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
NY
05/04/1998 - 03/04/2003
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
11/24/1993 - 05/01/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 11/05/2007
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 01/30/2006
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/02/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/01/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/14/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/15/2007
Series 7 - General Securities Representative Examination
BC
Issued 03/03/1994
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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