David L. Louthan
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.
David Lee Louthan, who also goes by David L Louthan, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2011 - January 8, 2023
ROBERT W. BAIRD & CO. INCORPORATED
October 21, 2011 - January 8, 2023
ROBERT W. BAIRD & CO. INCORPORATED
March 11, 2008 - October 24, 2011
WEDBUSH SECURITIES INC.
April 26, 2002 - October 24, 2011
WEDBUSH SECURITIES INC.
March 9, 2002 - May 7, 2002
RBC CAPITAL MARKETS, LLC
February 1, 1999 - March 9, 2002
SUTRO & CO. INCORPORATED
April 11, 1997 - February 8, 1999
CHARTER INVESTMENT GROUP, INC.
January 16, 1996 - April 9, 1997
SUTRO & CO. INCORPORATED
April 4, 1995 - April 4, 1996
CHARTER INVESTMENT GROUP, INC.
May 10, 1990 - March 24, 1995
U.S. BANCORP SECURITIES
February 17, 1989 - March 24, 1995
U.S. BANCORP SECURITIES
October 20, 1983 - March 7, 1987
MORGAN STANLEY DW 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
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.
