Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam James Baxter, Jr. is a financial advisor with over 30 years of experience in the industry. Baxter currently works at Wells Fargo Clearing Services, LLC and is registered with the Financial Industry Regulatory Authority (FINRA) as a Registered Representative and a General Securities Principal. He is also registered as an Investment Advisor Representative with the state of New Jersey. William has previously worked at J.P. Turner & Company, L.L.C., Global Capital Securities Corporation, Prudential Securities Incorporated, and Chatfield Dean & Co., Inc. Baxter has a diverse background in the financial services industry, and has experience providing investment advice to individuals, corporations, and institutions. He is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
Investment consulting services to institutional clients
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.
1
2
NJ
09/16/2005 - Present
Wells Fargo Clearing Services, LLC (SOMERS POINT NJ)
GA
03/26/2002 - 04/13/2004
J.P. TURNER & COMPANY, L.L.C. (ATLANTA GA)
CO
01/22/1996 - 03/26/2002
GLOBAL CAPITAL SECURITIES CORPORATION (ENGLEWOOD CO)
NY
08/31/1994 - 01/26/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CO
11/27/1991 - 09/12/1994
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
IA
Issued 09/14/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/29/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/16/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/26/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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