Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Baxter has been in the financial services industry since 1996. William is currently registered with LPL Financial LLC and has licenses in both California and Minnesota. William has held previous positions with Cetera Investment Services LLC, Commonwealth Financial Network, CUSO Financial Services, L.P., TCF Investments, Inc., and TD Waterhouse Investor Services, Inc. William has experience in providing financial planning, portfolio management, and consulting services to individuals, businesses, and institutions. William holds various securities licenses, including Series 7, Series 9, Series 10, Series 24, Series 52TO, and Series 63, and is a registered investment adviser in Minnesota.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
07/31/2020 - Present
LPL Financial LLC (SAN DIEGO CA)
MN
05/28/2014 - 07/23/2020
CETERA INVESTMENT SERVICES LLC (EDINA MN)
MN
08/01/2008 - 05/16/2012
COMMONWEALTH FINANCIAL NETWORK (ROCHESTER MN)
MN
02/09/2006 - 08/01/2008
CUSO FINANCIAL SERVICES, L.P. (ROCHESTER MN)
MN
08/23/2004 - 02/03/2006
TCF INVESTMENTS, INC. (MINNEAPOLIS MN)
NE
05/22/1996 - 08/10/2004
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NA
05/26/1995 - 06/26/1995
VOYAGEUR FUND DISTRIBUTORS, INC.
IA
Issued 02/27/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1996
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 03/18/2005
Series 4 - Registered Options Principal Examination
BC
Issued 10/06/2004
Series 24 - General Securities Principal Examination
BC
Issued 12/04/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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