Russell W. Tennant
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.
Russell William Tennant was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1983. Russell had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2014 - July 5, 2017
ROBERT W. BAIRD & CO. INCORPORATED
November 7, 2014 - July 5, 2017
ROBERT W. BAIRD & CO. INCORPORATED
January 6, 2011 - November 7, 2014
MCADAMS WRIGHT RAGEN, INC.
January 6, 2011 - November 7, 2014
MCADAMS WRIGHT RAGEN, INC.
October 7, 2002 - January 7, 2011
D.A. DAVIDSON & CO.
August 20, 1998 - January 7, 2011
D.A. DAVIDSON & CO.
February 22, 1993 - September 1, 1998
PIPER SANDLER & CO.
April 27, 1992 - February 19, 1993
SEAFIRST INVESTMENT SERVICES, INC.
September 14, 1988 - April 25, 1992
SEAFIRST SECURITIES, INC.
August 27, 1986 - March 22, 1988
SEATTLE-NORTHWEST SECURITIES CORPORATION
March 22, 1983 - December 5, 1984
SOMERS, GROVE & 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 8
Date: 12/21/1998
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.
