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William Joseph Baxter

Baxter Investment Management

Greenwich, CT

CRD 1827361

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Employer firm

Baxter Investment Management CRD 106548

$1.17B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
Baxter Investment Management

1030 East Putnam Avenue, Riverside, CT 06878 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2003-03-10
TX RA APPROVED_RES 2002-07-15
  • CT RA
    APPROVED
    Since 2003-03-10
  • TX RA
    APPROVED_RES
    Since 2002-07-15

Branch Locations

1030 East Putnam Ave., Greenwich, CT 06836 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Baxter Investment Management Greenwich CT 01/1989 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-23
S63 Uniform Securities Agent State Law Examination 1991-03-06
  • S65 Uniform Investment Adviser Law Examination
    1992-06-23
  • S63 Uniform Securities Agent State Law Examination
    1991-03-06
Other Names
  • William Joseph Baxter

View on SEC IAPD

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