LH
Landrum H. Henderson
ROBERT W. BAIRD & CO.
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 242782
LH
Professional summary
Landrum Hazel Henderson JR, who also goes by Catfish Henderson, Landrum Hazel Henderson, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Charlotte, North Carolina.
Landrum is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Landrum has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 31, Series 5, Series 1, Series 9, Series 10, Series 53, Series 4, Series 24 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catfish Henderson | Landrum Hazel Henderson
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: Rental Property PAWLEYS ISLAND SC
Start date: 5/2020
Hours spent: 0-4 hour/month
Hours spent during trading hours: Zero
Role/Responsibility: Owner/Proprietor, Landlord
Non-Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Landrum Hazel Henderson JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Landrum Hazel Henderson JR'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
October 19, 2009 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 4350 Congress St Suite 400, Charlotte, NC 28209RIA
BD
CRD#: 8158
Charlotte, NC
Current
October 19, 2009 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 4350 Congress St Suite 400, Charlotte, NC 28209RIA
BD
CRD#: 8158
Charlotte, NC
Past
September 27, 2007 - September 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
COLUMBIA, SC
Past
September 27, 2007 - September 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
COLUMBIA, SC
Past
February 23, 2006 - October 5, 2007
STEPHENS
RIA
CRD#: 3496
CHARLOTTE, NC
Past
February 23, 2006 - October 5, 2007
STEPHENS
BD
CRD#: 3496
CHARLOTTE, NC
Past
February 21, 2006 - February 27, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CHARLOTTE, NC
Past
February 21, 2006 - February 27, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHARLOTTE, NC
Past
December 31, 2001 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
CHARLOTTE, NC
Past
September 11, 1997 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
CHARLOTTE, NC
Past
April 13, 1993 - September 11, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 26, 1978 - March 22, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 21, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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
Georgia(10/21/2009)
RR
North Carolina(10/19/2009)
IAR
North Carolina(10/19/2009)
RR
South Carolina(10/21/2009)
RR
Texas(1/22/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/26/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 6/19/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 6/20/1981
NYSE Branch Manager ExaminationSRO 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.
