Shawn Baxter

Shawn Baxter, Chief Compliance Officer, designs and implements the firm’s compliance program, works to ensure adherence to regulatory standards, and fosters a culture of compliance aligned with the Vision and Mission of Prospera. Shawn offers a well-rounded perspective on both the operational and regulatory challenges faced by independent broker-dealers and investment advisors. His experience has shaped a proactive and strategic approach to compliance, with an emphasis on education, risk mitigation, and internal controls.

Shawn has worked in the financial services industry as a compliance professional servicing independent financial advisors for over 22 years. Shawn holds his Series 7, 24, 53, 63, and 66 licenses, Life and Health (L&H) License, as well as the Certified Anti-Money Laundering Specialist (CAMS) and Investment Adviser Certified Compliance Professional (IACCP) designations.