Broker Check

Firm Affiliations

LPL Financial

LPL Financial is one of the nation's leading financial services companies and a publicly traded company under ticker symbol LPLA. The firm’s mission is rooted in the belief that objective financial guidance is a fundamental need for everyone. LPL Financial does not offer any proprietary investment products or engage in investment banking activities; this means advisors affiliated with LPL are not pressured or influenced by LPL to sell any product or particular offering.

Analysts at LPL Financial provide the advisory field strategic model allocations for implentation based on current trends and their (LPL Financial’s) market outlook. LPL Financial has $509 billion in assets under management (as of 12/31/2016). Advisory representatives also have the capability to work with other third party, independent advisory platforms, maintaining associated advisors independence. We are affiliated with LPL in order to take advantage of its resources made available to the field, of which, affects how we are able to serve our clients.

Mr. Baxa, CFP(R), holds his Series 7 Securities Registration with LPL Financial which allows him to purchase and sell individual stock and bonds, limited partnerships, direct participation investments, non-traded public REIT’s and investment trusts.

Mr. Baxa, CFP(R), is also a (Series 65 Securities Registration) Investment Advisory Representative with LPL Financial, A Registered Investment Advisor. He is able to offer written fee based financial consulting recommendations along with investment advisory services in the states he is registered as an Investment Advisory Representative with LPL Financial.

Affiliations Prior to 09/02/2009

Waterstone Financial Group, Itasca, Illinois. (LPL Financial acquisition, 2007) 09/2009

Ogilvie Security Advisors Corp., Chicago , Illinois. 06/2006

Financial Integrity Group, Inc. Chicago Illinois. A privately held financial consulting firm. 10/1999

Capital Analysts Incorporated. 10/1999