William Baxter, financial advisor Atlanta GA

William Baxter

CRD Number: 15334
Current Firm: Dempsey Lord Smith, LLC

William Baxter (CRD# 15334) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Atlanta, GA and has over 34 years of experience in the finance industry. William Baxter has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Dempsey Lord Smith, LLC Rome, GA Oct 2014 - Current 7
Jefferson Pilot Securities Corporation Atlanta, GA Apr 2000 - Current 22
Jefferson Pilot Financial Atlanta, GA Mar 2000 - Current 22
William Baxter & Associates, Inc. Lexington, KY Mar 1981 - Current 41
Kovack Securities Inc. Atlanta, GA Oct 2014 - Oct 2014 < 1
Resource Horizons Group LLC Marietta, GA Feb 2008 - Oct 2014 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1987
S66 NASAA Uniform Combined State Law Examination Nov 2000
Contact Info for William V. Baxter
Phone Number: 706.238.9575
Registered State(s):
  • GA
By the Numbers
  • Total Assets Under Management
    315
    MILLIONS
  • Total Number of Accounts
    1,673
    ACCOUNTS
  • Average Account Value
    $188,275
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AL, AZ, CA, CO, FL, GA, IL, IN, KY, LA, MA, MI, MN, MO, MS, NC, NV, OH, PA, PR, SC, TN, TX

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