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MARGARET JANET BAXTER
CRD#: 2735464
IA
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OPPENHEIMER & CO. INC.CRD#: 249 10 BROOK STREET
SUITE 290
ASHEVILLE, NC 28803
SUITE 290
ASHEVILLE, NC 28803
0
Disclosures
28
Years of Experience
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State Registrations
B
Alaska 9/12/2017
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New York 1/16/2020
B
California 7/31/2009
B
North Carolina 7/31/2009
B
Delaware 8/18/2015
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North Carolina 8/18/2009
B
Florida 7/31/2009
B
Pennsylvania 11/20/2019
B
Georgia 4/20/2020
B
South Carolina 7/31/2009
B
Illinois 8/30/2023
B
Tennessee 7/31/2009
B
Kentucky 1/5/2021
B
Texas 3/27/2018
B
Maine 1/25/2010
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Texas 3/29/2018
B
Massachusetts 3/28/2023
B
Utah 7/31/2009
B
Michigan 7/31/2009
B
Vermont 1/6/2014
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Missouri 3/4/2013
B
Virginia 7/31/2009
B
New Hampshire 9/19/2016
B
Washington 3/11/2014
B
New Jersey 7/31/2009
B
West Virginia 11/13/2020
SRO Registrations
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B
B
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B
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Registered with this firm since 8/18/2009
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Registered with this firm since 7/31/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/31/2001 - 08/18/2009 | ASHVILLE, NC | |
B | 08/14/2000 - 08/18/2009 | ASHVILLE, NC | |
B | 06/12/1996 - 08/14/2000 | NEW YORK, NY |
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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.
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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.