Steven D. Binder
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.
Steven D Binder, who also goes by Steven Dawson Binder, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1971. Steven had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1, Series 9, Series 53, Series 24, Series 10, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2009 - February 20, 2023
ROBERT W. BAIRD & CO. INCORPORATED
February 25, 2009 - February 20, 2023
ROBERT W. BAIRD & CO. INCORPORATED
April 7, 2000 - March 21, 2007
WELLS FARGO CLEARING SERVICES, LLC
August 27, 1991 - March 21, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 24, 1988 - August 30, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 26, 1979 - April 27, 1988
E. F. HUTTON & COMPANY INC
October 1, 1976 - February 2, 1979
GERWIN AND COMPANY
January 5, 1973 - August 15, 1974
W. E. HUTTON & CO.
February 17, 1972 - February 10, 1973
E. F. HUTTON & COMPANY INC
June 2, 1971 - March 4, 1972
W. E. HUTTON & CO.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 3/17/1988
AMEX Put and Call ExamSeries 1
Date: 5/26/1971
Registered Representative ExaminationSeries 8
Date: 3/25/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 9/24/1976
Registered Principal ExaminationCurrent 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.
