Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Robert Baxter is an active investment advisor representative with Citigroup Global Markets Inc. based in New York, NY. He has been active in the industry since August 19, 1994. Thomas has a broad range of experience and holds numerous licenses and certifications, including Series 7, 9, 10, 24, 63, and 65. Thomas has previously worked with CITICORP INVESTMENT SERVICES and FREEDOM INVESTMENTS, INC., and is registered in New York and New Jersey.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
08/17/2021 - Present
Citigroup Global Markets Inc. (Los Angeles CA)
NY
12/05/2003 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
NJ
03/14/2002 - 11/14/2003
FREEDOM INVESTMENTS, INC. (EDISON NJ)
NJ
03/02/2000 - 03/12/2002
BUYANDHOLD SECURITIES CORPORATION (EDISON NJ)
NY
06/20/1994 - 01/21/2000
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IA
Issued 04/09/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/23/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/14/2003
Series 24 - General Securities Principal Examination
BC
Issued 03/31/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/10/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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