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William Joseph Baxter

Baxter Investment Management

Riverside, CT

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Current Employers
Baxter Investment Management

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2020-02-28
  • CT RA
    APPROVED
    Since 2020-02-28

Branch Locations

1030 East Putnam Avenue, Riverside, CT 06878 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenwich CT 11/2017 12/2019
Unemployed Riverside CT 05/2017 11/2017
Colgate University Hamilton NY 08/2013 05/2017
Colgate University Hamilton NY 08/2016 05/2017
Bank Of America, N.A. Greenwich CT 05/2018 12/2019
Baxter Investment Management Riverside CT 01/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-04-04
  • S66 Uniform Combined State Law Examination
    2018-04-04
Other Names
  • Billy Baxter
  • Bill Baxter
  • William Baxter

View on SEC IAPD

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CITIGROUP GLOBAL MARKETS INC. · Cos Cob, CT
THE DOWLING GROUP WEALTH MANAGEMENT · GREENWICH, CT
J.P. MORGAN SECURITIES LLC · COS COB, CT
BURNHAM STERLING ASSET MANAGEMENT LLC · COS COB, CT
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Riverside, CT
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