DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
John Douglas Baxley
Certified Financial Planner
Feed of 09/15/2026
Also filed as Doug Baxley
At current firm
2 y
since Nov 7, 2023
In the industry
27 y
since Apr 28, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Merit Financial Advisors BD affiliated currentsince Nov 7, 2023 · Knoxville, Tn
- Silver Oak Securities, Inc. BD affiliatedMay 28, 2021 to Nov 3, 2023 · Jackson, Tn
- Cambridge Investment Research Advisors, Inc. BD affiliatedSep 4, 2019 to May 24, 2021 · Fairfield, Ia
- Ladenburg Thalmann Asset Management Inc otherJan 10, 2017 to Jul 2, 2019 · Knoxville, Tn
- Ssn Advisory, Inc. formerAug 18, 2006 to Dec 31, 2018 · Knoxville, Tn
- Landoak Securities, LLC unclassifiedAug 26, 2003 to Aug 11, 2006 · Knoxville, Tn
Moves
a registration end followed by a registration begin elsewhere
- Silver Oak Securities, Inc. to Merit Financial Advisorsleft Nov 3, 2023, registered Nov 7, 2023 (4 days) · Affiliated broker-dealer or bank to independent RIA
- Cambridge Investment Research Advisors, Inc. to Silver Oak Securities, Inc.left May 24, 2021, registered May 28, 2021 (4 days) · Affiliated broker-dealer or bank to another
- Ladenburg Thalmann Asset Management Inc to Cambridge Investment Research Advisors, Inc.left Jul 2, 2019, registered Sep 4, 2019 (64 days) · RIA to affiliated broker-dealer or bank
- Ssn Advisory, Inc. to Ladenburg Thalmann Asset Management Incleft Dec 31, 2018, registered Jan 10, 2017 (-720 days) · Other
- Landoak Securities, LLC to Ssn Advisory, Inc.left Aug 11, 2006, registered Aug 18, 2006 (7 days) · Other
Signals
- John Douglas Baxley left Silver Oak Securities, Inc. for Merit Financial Advisors (registered 2023-11-07)Nov 3, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address