William James Baxter

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2005-09-16

NJ RA
APPROVED

Since 2005-09-16

Branch Locations

331 Newman Springs Rd Bldg 2 2Nd Fl Ste 221 [J4-Rbo], Red Bank, NJ 07701 • United States

500 New Rd, Somers Point, NJ 08244 • United States

297 Route 72 W, Manahawkin, NJ 08050 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Linwood	NJ	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Linwood	NJ	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Linwood, NJ
11/2016 → Present

Wells Fargo Clearing Services, Llc

Linwood, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-09-14
S63	Uniform Securities Agent State Law Examination	1991-11-29

S65 Uniform Investment Adviser Law Examination

2005-09-14
S63 Uniform Securities Agent State Law Examination

1991-11-29

Other Names