Luke Baxter has been Chief Technology Officer of Dakota Wealth since March 2023, is a control person of the firm and directly owns under 5% of it.
Dakota Wealth, LLC is a Palm Beach Gardens, FL firm with $6.94B under management, 3,764 clients and 61 advisers across 22 offices, as of its August 2026 filing.
Luke Baxter’s longest registration is the current one, 8 years at Dakota Wealth since 2018. Before joining Dakota Wealth in 2018, Luke Baxter was registered through Dakota Wealth, LLC.
- Dakota Wealth, LLC– · 7 yearsPalm Beach Gardens, FL · Adviser representative · Firm CRD 141137
Investment adviser representative registrations
Luke Baxter is registered as an investment adviser representative in Massachusetts, since October 2018.
- MassachusettsSince 10 October 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 17 November 2011 |
| Series 7 | General Securities Representative Examination | 30 April 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 September 2008 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 29 August 2008 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Luke S Baxter
- CRD
- 5569377
- Firm
- Dakota Wealth · CRD 297987
- Role
- Chief Technology Officer
- Office
- 222 Rosewood Drive, Suite 350, Danvers, MA 01923
- Registration
- Investment adviser registration
- In the industry since
- November 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Luke Baxter work?
Luke Baxter has been Chief Technology Officer of Dakota Wealth, LLC since March 2023, and is a control person of the firm.
Is Luke Baxter a financial advisor?
Yes. Luke Baxter has a current investment-adviser registration in Massachusetts, through Dakota Wealth since October 2018.
How many years of experience does Luke Baxter have?
Luke Baxter has 14 years in the financial industry, since November 2011, across 2 adviser firms.
What exams has Luke Baxter passed?
Luke Baxter has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in August 2008.
Where is Luke Baxter based?
Luke Baxter’s registered office is in Danvers, MA.
Is Luke Baxter registered with FINRA?
No. Luke Baxter has no current broker registration.
How can I verify Luke Baxter’s record?
Search CRD 5569377 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Luke Baxter’s full registration record.