Elmer H. Gardner
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.
Elmer Harry Gardner, who also goes by Bud Gardner, E H Gardner, Elmer H Gardner Jr, was a registered financial professional .
Elmer is a previously registered financial professional and started their career in finance in 1970. Elmer had worked at 7 firms and has passed the Series 63, PC, Series 1, Series 4, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 1999 - December 6, 2013
ROBERT W. BAIRD & CO. INCORPORATED
December 1, 1993 - December 6, 2013
ROBERT W. BAIRD & CO. INCORPORATED
September 4, 1990 - November 30, 1993
WELLS FARGO CLEARING SERVICES, LLC
February 16, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
February 6, 1979 - March 7, 1989
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 14, 1976 - January 26, 1979
REINHOLDT & GARDNER INCORPORATED
December 28, 1973 - February 9, 1976
FULTON, REID & STAPLES, INC.
March 5, 1970 - January 20, 1974
THE FIRST COLUMBUS CORPORATION
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
PC
Date: 7/7/1977
AMEX Put and Call ExamSeries 1
Date: 11/29/1960
Registered Representative ExaminationSeries 12
Date: 2/15/1976
NYSE Branch Manager ExaminationSeries 00
Date: 1/27/1973
General Securities 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 |
|---|---|---|
| 12/23/2025 | ||
| 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.
