BP
Brian M. Penn
ROBERT W. BAIRD & CO.
Baltimore, MD 21204
Some features on this profile are disabled
CRD#: 1251435
BP
Professional summary
Brian Michael Penn is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Baltimore, Maryland.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Brian has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Name/Address: Associated Jewish Charities / 101 West Mount Royal Avenue, Baltimore, MD 21201 Start Date: 1/1/2004 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Investment Committee Member Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Brian Michael Penn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Michael Penn's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 14, 2009 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 100 West Road Suite 200, Baltimore, MD 21204RIA
BD
CRD#: 8158
Baltimore, MD
Current
August 14, 2009 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 100 West Road Suite 200, Baltimore, MD 21204RIA
BD
CRD#: 8158
Baltimore, MD
Past
June 1, 2009 - September 4, 2009
MORGAN STANLEY
RIA
CRD#: 149777
TOWSON, MD
Past
June 1, 2009 - September 4, 2009
MORGAN STANLEY
BD
CRD#: 149777
TOWSON, MD
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
TOWSON, MD
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
TOWSON, MD
Past
January 18, 1996 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
TOWSON, MD
Past
July 20, 1994 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
December 4, 1992 - June 3, 1994
BOWLES HOLLOWELL CONNER & CO.
BD
CRD#: 17511
CHARLOTTE, NC
Past
July 28, 1992 - November 11, 1992
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
December 12, 1986 - August 9, 1990
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 17, 1984 - December 22, 1986
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
April 18, 1984 - September 5, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/12/2019)
RR
Arkansas(2/27/2019)
RR
California(8/14/2009)
RR
Colorado(2/1/2017)
RR
Connecticut(8/14/2009)
RR
Delaware(8/14/2009)
RR
District of Columbia(8/14/2009)
RR
Florida(8/14/2009)
IAR
Florida(1/8/2018)
RR
Georgia(8/14/2009)
RR
Idaho(1/27/2023)
RR
Illinois(2/21/2024)
RR
Kansas(8/8/2016)
RR
Kentucky(10/31/2023)
RR
Maryland(8/14/2009)
IAR
Maryland(8/14/2009)
RR
Massachusetts(8/14/2009)
RR
Michigan(9/24/2018)
RR
Nevada(1/27/2021)
RR
New Jersey(7/25/2023)
RR
New York(8/14/2009)
RR
North Carolina(10/15/2024)
RR
Ohio(10/21/2025)
RR
Oregon(8/13/2024)
RR
Pennsylvania(8/14/2009)
RR
Rhode Island(4/9/2025)
RR
South Carolina(7/3/2017)
RR
South Dakota(2/13/2024)
RR
Texas(8/14/2009)
IAR
Texas(5/16/2017)
RR
Virginia(8/14/2009)
RR
Wisconsin(8/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
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.
