Brian R. Dunston
ROBERT W. BAIRD & CO. | Financial Advisor
Nashville, TN 37203
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CRD#: 2342262
Professional summary
Brian Ray Dunston is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Nashville, Tennessee.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Brian has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Ray Dunston's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Ray Dunston'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
June 27, 2025 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1600 West End Ave, Suite 1100, Nashville, TN 37203RIA
BD
CRD#: 8158
Nashville, TN
Current
June 27, 2025 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1600 West End Ave, Suite 1100, Nashville, TN 37203RIA
BD
CRD#: 8158
Nashville, TN
Past
June 24, 2019 - June 30, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BRENTWOOD, TN
Past
June 21, 2019 - June 30, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BRENTWOOD, TN
Past
August 18, 2014 - July 12, 2019
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
NASHVILLE, TN
Past
August 6, 2014 - July 12, 2019
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
NASHVILLE, TN
Past
April 20, 2012 - May 9, 2014
HMS INVESTMENT ADVISORS
RIA
CRD#: 149764
NASHVILLE, TN
Past
April 9, 2009 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
FRANKLIN, TN
Past
April 9, 2009 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
April 23, 2008 - February 26, 2009
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
BRENTWOOD, TN
Past
April 23, 2008 - February 26, 2009
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
BRENTWOOD, TN
Past
June 9, 2004 - March 20, 2008
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
NASHVILLE, TN
Past
July 14, 2000 - March 20, 2008
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
NASHVILLE, TN
Past
May 4, 1998 - July 31, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
October 1, 1997 - May 21, 1998
PFIC SECURITIES CORPORATION
BD
CRD#: 34941
FRANKLIN, TN
Past
March 7, 1997 - October 1, 1997
UNION PLANTERS BROKERAGE SERVICES INC.
BD
CRD#: 27348
Past
December 8, 1993 - March 24, 1995
VINING-SPARKS IBG, LLC
BD
CRD#: 27502
MEMPHIS, TN
Past
July 2, 1993 - December 20, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
July 2, 1993 - December 20, 1993
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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
Alabama(6/27/2025)
RR
Arkansas(6/27/2025)
RR
Florida(6/27/2025)
RR
Georgia(6/27/2025)
RR
Massachusetts(6/27/2025)
RR
Mississippi(6/27/2025)
RR
Missouri(6/27/2025)
RR
Nevada(6/27/2025)
RR
New York(11/7/2025)
RR
Ohio(6/27/2025)
RR
Tennessee(6/27/2025)
IAR
Tennessee(6/27/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
Financial AdvisorCRD#: 8158Nashville, TN 37203TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
