Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
John Jay Baxter
JOHN J BAXTER
CRD#: 1708331
IA
B
TLG ADVISORS, INC.CRD#: 111052 180 S Lake Avenue
Suite 510
Pasadena, CA 91101
Suite 510
Pasadena, CA 91101
THE LEADERS GROUP, INC.CRD#: 37157 180 S Lake Avenue
Suite 510
Pasadena, CA 91101
Suite 510
Pasadena, CA 91101
0
Disclosures
36
Years of Experience
View By:
State Registrations
B
California 11/29/2007
IA
California 10/15/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/15/2020
B
Registered with this firm since 11/23/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/11/2007 - 12/03/2007 | PASADENA, CA | |
B | 01/14/2004 - 12/31/2006 | PASADENA, CA | |
B | 02/20/1998 - 12/31/2003 | BOSTON, MA | |
B | 05/15/1990 - 12/18/1997 | NEW YORK, NY | |
B | 08/12/1987 - 06/26/1989 | NEWARK, NJ |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.