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Shawn Baxter

Prospera Financial Services, Inc.

Dallas, TX

Dallas, TX

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Current Employers
Prospera Financial Services, Inc.

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-04-12
  • TX RA
    APPROVED
    Since 2023-04-12

Branch Locations

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • 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
1St Global Advisors, Inc. Dallas TX 12/2008 10/2019
1St Global Capital Corp Dallas TX 08/2011 10/2019
Avantax Investment Services, Inc. Dallas TX 07/2012 04/2023
Avantax Advisory Services Dallas TX 10/2019 04/2023
Avantax Investment Services, Inc. Dallas TX 10/2019 04/2023
Prospera Financial Services Dallas TX 04/2023 08/2024
Prospera Financial Services Dallas TX 08/2024 Present
  • 12/2008 → 10/2019
    1St Global Advisors, Inc.
    Dallas, TX
  • 08/2011 → 10/2019
    1St Global Capital Corp
    Dallas, TX
  • 07/2012 → 04/2023
    Avantax Investment Services, Inc.
    Dallas, TX
  • 10/2019 → 04/2023
    Avantax Advisory Services
    Dallas, TX
  • 10/2019 → 04/2023
    Avantax Investment Services, Inc.
    Dallas, TX
  • 04/2023 → 08/2024
    Prospera Financial Services
    Dallas, TX
  • 08/2024 → Present
    Prospera Financial Services
    Dallas, TX
Previous Registrations
  • 2019-10-25 → 2023-04-11
    Avantax Advisory Services
    Irving, TX
  • 2008-12-15 → 2019-10-25
    1St Global Advisors Inc
    Dallas, TX
  • 2008-10-21 → 2008-12-08
    Hilltop Securities Inc.
    Dallas, TX
  • 2008-06-11 → 2008-10-16
    1St Global Advisors Inc
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-28
S63 Uniform Securities Agent State Law Examination 2001-06-11
  • S66 Uniform Combined State Law Examination
    2003-05-28
  • S63 Uniform Securities Agent State Law Examination
    2001-06-11
Other Names
  • Shawn Michael Baxter

View on SEC IAPD

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Other Offices

RETIREMENT ADVISORS, LLC · DALLAS, TX
7TH HARVEST INVESTMENTS · DALLAS, TX
ADVISOR RESOURCE COUNCIL · Dallas, TX
PRIME SENTRY WEALTH MANAGEMENT LLC · ADDISON, TX
OPENAIR FINANCIAL, LLC · Dallas, TX
GENEOS WEALTH MANAGEMENT, INC. · Addison, TX
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Addison, TX
KESTRA ADVISORY SERVICES, LLC · ADDISON, TX

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