Brendan J. Mcmahon
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.
Brendan Joseph Mcmahon was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 1994. Brendan had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2018 - April 4, 2024
ROBERT W. BAIRD & CO. INCORPORATED
March 14, 2013 - November 11, 2016
TD ARRANGED SERVICES LLC
May 29, 2003 - November 11, 2016
COWEN AND COMPANY
July 30, 1999 - May 21, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 2, 1997 - July 26, 1999
ABN AMRO INCORPORATED
June 4, 1996 - January 2, 1997
THE CHICAGO CORPORATION
October 21, 1994 - July 3, 1996
SALOMON BROTHERS INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/12/2003
Limited Representative-Equity Trader ExamCurrent 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.
