John Douglas Baxley

Current Employers

Merit Financial Advisors

2400 Lakeview Parkway Suite 550, Alpharetta, GA 30009 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2023-11-08
TN	RA	APPROVED	2023-11-07

GA RA
APPROVED

Since 2023-11-08
TN RA
APPROVED

Since 2023-11-07

Branch Locations

Knoxville, TN • United States

2400 Lakeview Parkway Suite 550, Alpharetta, GA 30009 • 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

Organization	City	State	From	To
Securities Service Network, Inc.	Knoxville	TN	08/2006	12/2018
Ladenburg Thalmann & Co., Inc.	New York	NY	01/2017	07/2019
Ladenburg Thalmann Asset Management	New York	NY	01/2017	07/2019
Ssn Advisory, Inc.	Knoxville	TN	08/2006	12/2018
Cambridge Investment Research Advisors, Inc	Fairfield	IA	09/2019	05/2021
Cambridge Investment Research, Inc.	Fairfield	IA	09/2019	05/2021
Silver Oak Securities Inc.	Jackson	TN	05/2021	11/2023
Lpl Financial Llc	Alpharetta	GA	11/2023	08/2024
Merit Financial Group D/B/A Merit Financial Advisors	Alpharetta	GA	11/2023	Present
Purshe Kaplan Sterling Investments	Albany	NY	08/2024	Present
Stone Creek Capital Management Llc	Alpharetta	GA	11/2023	Present
Mfg Securities	Alpharetta	GA	08/2024	Present

08/2006 → 12/2018

Securities Service Network, Inc.

Knoxville, TN
01/2017 → 07/2019

Ladenburg Thalmann & Co., Inc.

New York, NY
01/2017 → 07/2019

Ladenburg Thalmann Asset Management

New York, NY
08/2006 → 12/2018

Ssn Advisory, Inc.

Knoxville, TN
09/2019 → 05/2021

Cambridge Investment Research Advisors, Inc

Fairfield, IA
09/2019 → 05/2021

Cambridge Investment Research, Inc.

Fairfield, IA
05/2021 → 11/2023

Silver Oak Securities Inc.

Jackson, TN
11/2023 → 08/2024

Lpl Financial Llc

Alpharetta, GA
11/2023 → Present

Merit Financial Group D/B/A Merit Financial Advisors

Alpharetta, GA
08/2024 → Present

Purshe Kaplan Sterling Investments

Albany, NY
11/2023 → Present

Stone Creek Capital Management Llc

Alpharetta, GA
08/2024 → Present

Mfg Securities

Alpharetta, GA

Previous Registrations

2021-05-28 → 2023-11-03

Silver Oak Securities, Incorporated

Jackson, TN

North Liberty, IA

Knoxville, TN
2019-09-04 → 2021-05-24

Cambridge Investment Research Advisors, Inc.

Fairfield, IA
2017-01-10 → 2019-07-02

Ladenburg Thalmann Asset Management Inc

Knoxville, TN
2006-08-18 → 2018-12-31

Ssn Advisory, Inc.

Knoxville, TN
2003-08-26 → 2006-08-11

Landoak Securities, Llc

Knoxville, TN

Knoxville, TN

Other Businesses

1) Merit Financial Group d/b/a Merit Financial Advisors. Investment Related. At registered location. RIA. Chief Compliance Officer. 11/03/2023. 160. 160. Service clients. 2) Fixed Insurance. Investment related. At registered location. Insurance. Agent. 07/15/2024. 10. 10. Selling Life, Health, Disability, Long Term Care, and Fixed Annuities. 3) Stone Creek Capital Management LLC. Investment Related. At registered location. RIA. Chief Compliance Officer. 11/03/2023. 160. 160. Service clients. 4) Merit Agency. Investment related. At registered location. Fixed insurance/annuity. CCO. 8/16/2024. 1. 1. Insurance GA for non-variable business. 5) MFG Securities LLC. Investment Related. At registered location. LUBD. CCO. 06/16/2024. 5. 5. Special use BD for receipt of commission from PKS. 6)PKS. Investment Related. At the registered location. RR of BD. Commission compensation.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-08-25
S63	Uniform Securities Agent State Law Examination	1999-04-28

S65 Uniform Investment Adviser Law Examination

2003-08-25
S63 Uniform Securities Agent State Law Examination

1999-04-28

Designations

Other Names

Doug Baxley
John Douglas Baxley
Doug Baxley

View on SEC IAPD