Scott Matthew Baxter

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-06-16
IA	RA	APPROVED	1999-10-20

TX RA
APPROVED_RES

Since 2021-06-16
IA RA
APPROVED

Since 1999-10-20

Branch Locations

5207 Competition Dr, Bettendorf, IA 52722 • United States

De Witt, IA • 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
Principal Life Insurance Company	Bettendorf	IA	07/1998	Present
Principal Securities Inc	Bettendorf	IA	03/2016	Present
Baxter Investment Group	Bettendorf	IA	01/2026	Present

07/1998 → Present

Principal Life Insurance Company

Bettendorf, IA
03/2016 → Present

Principal Securities Inc

Bettendorf, IA
01/2026 → Present

Baxter Investment Group

Bettendorf, IA

Other Businesses

**SCB PROPERTIES; LLC; 1104 SPRINGBROOK LANE IN DEWITT, IA 52742; 7/29/05-PRESENT; 1 HOUR/MONTH; 5% OF INCOME; 2 COMMERCIAL PROPERTIES, 4 APARTMENTS; ***OUTSIDE INSURANCE - LIFE INSURANCE, DISABILITY INSURANCE, LONG-TERM CARE INSURANCE AND FIXED ANNUITIES, BROKER,7/10/13. **BAXTER FINANCIAL SERVICES. 03/2010-PRESENT. LLC FOR PAYROLL PURPOSES ONLY, NOT USED FOR SELLING ANY PRODUCTS. NOT INVESTMENT RELATED. **Fixed Insurance, Medicare Supplement, Health, 03/07/17. **GAS, LLC; Investment Related; 1104 Springbrook Ln., Dewitt, IA 52742; 50% owner/managing member of LLC; LLC established to own rental property; Start Date: 10/17/2015; 1 hrs per month; 0 during trading hours. **BAXTER INVESTMENT GROUP LLC POSITION: Partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2023 ADDRESS: 5103 Utica Ridge Road, Davenport IA 52807, United States DESCRIPTION: Formed for Partnership with my son. **BAXTER INVESTMENT GROUP (DBA) POSITION: Financial Advisor NATURE: Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2026 ADDRESS: 5207 Competition Drive, Bettendorf IA 52722, United States DESCRIPTION: Marketing Purposes.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-03-31

S63 Uniform Securities Agent State Law Examination

1994-03-31

View on SEC IAPD