BAXTER FINANCIAL CORPORATION
CRD #24125 SEC #801-33382 BOCA RATON, FL 561-395-2155
SEC Registered Broker-Dealer
Total AUM
$93.5M
Discretionary
$93.5M
Employees
5
Clients
--
Accounts
11
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| EDELMAN, KEITH ALLEN | I | CCO | NA | |
| EDELMAN, KEITH ALLEN | I | DIRECTOR OF OPERATIONS | NA | |
| EDELMAN, KEITH ALLEN | I | CHIEF COMPLIANCE OFFICER - ADVISORY SERVICES | NA | |
| EDELMAN, KEITH ALLEN | I | CHIEF COMPLIANCE OFFICER - ADVISORY SERVICES | NA | |
| ROHE, RONALD FRANCIS | I | SECRETARY AND COO | NA | |
| ROHE, RONALD FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROHE, RONALD FRANCIS | I | CHIEF COMPLIANCE OFFICER - BROKER / DEALER SERVICES | NA | |
| ROHE, RONALD FRANCIS | I | SECRETARY | NA | |
| ROHE, RONALD FRANCIS | I | SECRETARY | NA | |
| ROHE, RONALD FRANCIS | I | CHIEF COMPLIANCE OFFICER - BROKER / DEALER SERVICES | NA | |
| BAXTER, DONALD HARVEY | I | PRESIDENT AND TREASURER | E | Control |
| BAXTER, DONALD HARVEY | I | PRESIDENT AND TREASURER | E | Control |
| BAXTER, DONALD HARVEY | I | PRESIDENT AND TREASURER | E | Control |
| BAXTER, DONALD HARVEY | I | PRESIDENT AND TREASURER | E | Control |
| BAXTER, DONALD HARVEY | I | PRESIDENT AND TREASURER | E | Control |
| BAXTER, DONALD HARVEY | I | PRESIDENT AND TREASURER | E | Control |
Registrations
Federal
IA
Mar 30, 2007 REGISTERED
Notice Filings (1)
FL
Address
1200 NORTH FEDERAL HIGHWAY#424
BOCA RATON, FL 33432
USA
Phone: 561-395-2155