Career
John Baxley has been Chief Compliance Officer of Merit Financial Group since November 2023. John Baxley is a control person of the firm and directly owns under 5% of it.
Merit Financial Group, LLC is an Alpharetta, GA firm with $23.9B under management, 20,711 clients and 229 advisers across 66 offices, as of its September 2026 filing.
Merit Financial Advisors lists Doug Baxley as chief compliance officer and partner.
- Merit Financial AdvisorsCurrent– present · 2 yearsKnoxville, TN · Adviser representative · Firm CRD 142457
- Silver Oak Securities, Inc.– · 2 yearsKnoxville, TN · Adviser representative · Firm CRD 46947
- Cambridge Investment Research Advisors, Inc.– · 1 yearFairfield, IA · Adviser representative · Firm CRD 134139
- Ladenburg Thalmann Asset Management Inc– · 2 yearsKnoxville, TN · Adviser representative · Firm CRD 108604
- Ssn Advisory, Inc.– · 12 yearsKnoxville, TN · Adviser representative · Firm CRD 126090
- Landoak Securities, LLC– · 2 yearsKnoxville, TN · Adviser representative · Firm CRD 41123
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| Georgia | Approved | 8 November 2023 |
| Tennessee | Approved | 7 November 2023 |
- Status
- Approved
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 25 August 2003 |
| Series 53 | Municipal Securities Principal Examination | 3 October 2002 |
| Series 4 | Registered Options Principal Examination | 16 September 2002 |
| Series 27 | Financial and Operations Principal Examination | 26 August 2002 |
| Series 24 | General Securities Principal Examination | 2 August 2002 |
| Series 7 | General Securities Representative Examination | 10 May 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 April 1999 |
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
Individual record
- Full name
- John Douglas Baxley
- CRD
- 3214809
- Office
- Knoxville, TN
- Firm bio
- meritfinancialadvisors.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does John Baxley work?
John Baxley has been Chief Compliance Officer of Merit Financial Group, LLC since November 2023, and is a control person of the firm.
Is John Baxley a financial advisor?
Yes. John Baxley has a current investment-adviser registration in Georgia and Tennessee, through Merit Financial Group since November 2023.
How many years of experience does John Baxley have?
John Baxley has 26 years in the financial industry, since December 1999, across 6 adviser firms.
What exams has John Baxley passed?
John Baxley has passed 9 licensing exams: the Series 63, Series 7, Series 24, Series 27, Series 4, Series 53, Series 65, Series 52TO and Series 99TO. The earliest, the Series 63, was passed in April 1999. FINRA credited John Baxley with the SIE, which began in October 2018.
Where did John Baxley work before Merit Financial Group?
Before Merit Financial Group, John Baxley was registered through Silver Oak Securities, Inc., May 2021 to November 2023; Cambridge Investment Research Advisors, Inc., September 2019 to May 2021; Ladenburg Thalmann Asset Management Inc, January 2017 to July 2019; Ssn Advisory, Inc., August 2006 to December 2018; Landoak Securities, LLC, August 2003 to August 2006.
Where is John Baxley based?
John Baxley’s registered office is in Knoxville, TN.