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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-01-01 |
Branch Locations
780 Fifth Ave South Suite 200, Naples, FL 34102 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Baxa Advisors | Schaumburg | IL | 10/1999 | Present |
| Lpl Financial Llc | Schaumburg | IL | 09/2009 | Present |
1. 5/19/2011: OTHER-FAMILY TRUST BENEFICIARY - URAMKIN TRUST - JOHN BAXA IS A NAMED BENEFICIARY IN A FAMILY RELATED TRUST. THE ADVISOR'S UNCLE IS THE TRUST GRANTOR. - 1% OF TIME SPENT. 2. 9/4/2012: NON-VARIABLE INSURANCE DBA - BAXA ADVISORS, INC. - INDEPENDENT INSURANCE AGENCY, SELLING FIXED (NON-SEC) INSURANCE PRODUCTS. - TIME SPENT 10% - SCHAUMBURG, IL
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 1990-04-02 |
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