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David Colin Smith

Baxter Capital Management Inc

Indianapolis, IN

CRD 5696402

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Employer firm

Baxter Capital Management Inc CRD 105123

$4.19B regulatory AUM 7 advisory clients

Reported services (Item 5G)

  • Portfolio management (institutions)
  • ASSET/LIABILITY MANAGEMENT & CREDIT LOSS PROJECTIONS

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

Current Employers
Baxter Capital Management Inc

9247 North Meridian Street Ste. 103, Indianapolis, IN 46260-1824 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2013-02-15
  • IN RA
    APPROVED
    Since 2013-02-15

Branch Locations

9247 North Meridian Street Ste. 103, Indianapolis, IN 46260-1824 • 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 Capital Management Inc. Indianapolis IN 01/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-02-14
S63 Uniform Securities Agent State Law Examination 2012-02-11
  • S66 Uniform Combined State Law Examination
    2013-02-14
  • S63 Uniform Securities Agent State Law Examination
    2012-02-11

View on SEC IAPD

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Nearby Offices

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