Paul J. Brown
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul J Brown, who also goes by Paul J Brown Jr, Paul John Brown Jr, Paul John Brown, Paul Brown, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 15, Series 5, Series 10, Series 9, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2012 - January 12, 2022
ROBERT W. BAIRD & CO. INCORPORATED
October 5, 2012 - January 12, 2022
ROBERT W. BAIRD & CO. INCORPORATED
September 9, 2004 - October 12, 2012
UBS FINANCIAL SERVICES INC.
August 9, 2004 - October 12, 2012
UBS FINANCIAL SERVICES INC.
February 13, 2002 - July 23, 2004
METROPOLITAN LIFE INSURANCE COMPANY
February 13, 2002 - July 23, 2004
MSI FINANCIAL SERVICES, INC.
May 29, 1997 - July 17, 2001
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - May 22, 1997
CITIGROUP GLOBAL MARKETS INC.
November 3, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
December 21, 1988 - October 30, 1989
FINANCIAL CLEARING & SERVICES CORPORATION
March 22, 1983 - November 29, 1988
EVANS & CO., INC.
Primary Firm SEC Registration
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 12/6/1982
Foreign Currency Options ExaminationSeries 5
Date: 4/26/1982
Interest Rate Options ExaminationSeries 8
Date: 4/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
