Alan E. Brookshire
ROBERT W. BAIRD & CO.
Asheville, NC 28801
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CRD#: 2565912
Professional summary
Alan Earl Brookshire, CFP® is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Asheville, North Carolina.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Alan has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
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.
SERVING AS A DIRECTOR AT CANE CREEK CYCLING COMPONENTS. SERVE ON THE BOARD OF DIRECTORS 355 CANE CREEK ROAD.FLETCHER, NC 28732 BEGAN 09/01/2015.NON INVESTMENT RELATED. 2 HRS PER MONTH DURING BUSINESS HRS. ADVISE ON CORPORATE STRATEGY. FIRST 79 LLC, PASSIVE INVESTOR, COMMERICAL REAL ESTATE, START DATE 03/02/2018, 00 HRS/MO, 0 HRS/MOTRADING. Name/Address: LCB Ventures 3016 Locust Grove Rd Hendersonville NC 28792 Start Date: 4/18/18 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: LLC Owner/Member Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Alan Earl Brookshire's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Earl Brookshire'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®
CFP®
Start date: 2020
Experience
Current
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 79 Woodfin Place Suite 100, Asheville, NC 28801RIA
BD
CRD#: 8158
Asheville, NC
Current
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 79 Woodfin Place Suite 100, Asheville, NC 28801RIA
BD
CRD#: 8158
Asheville, NC
Past
May 29, 2018 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
ASHEVILLE, NC
Past
May 27, 2018 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
ASHEVILLE, NC
Past
March 17, 2009 - May 30, 2018
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
ASHEVILLE, NC
Past
March 17, 2009 - May 30, 2018
OPPENHEIMER & CO. INC.
BD
CRD#: 249
ASHEVILLE, NC
Past
November 7, 2008 - March 16, 2009
STANFORD GROUP COMPANY
RIA
CRD#: 39285
ASHEVILLE, NC
Past
November 7, 2008 - March 16, 2009
STANFORD GROUP COMPANY
BD
CRD#: 39285
ASHEVILLE, NC
Past
November 8, 2002 - November 14, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ASHVILLE, NC
Past
November 8, 2002 - November 14, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ASHVILLE, NC
Past
September 14, 2000 - November 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WINSTON-SALEM, NC
Past
March 3, 1997 - November 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 6, 1996 - March 12, 1997
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
February 6, 1995 - September 12, 1996
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 6, 1995 - September 12, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(12/11/2019)
RR
Arizona(10/18/2019)
RR
Arkansas(9/7/2022)
RR
California(8/9/2022)
RR
Colorado(4/9/2021)
RR
Connecticut(7/30/2021)
RR
District of Columbia(3/23/2023)
RR
Florida(10/18/2019)
IAR
Florida(5/19/2021)
RR
Georgia(10/18/2019)
RR
Idaho(10/9/2025)
RR
Illinois(5/23/2023)
RR
Indiana(10/18/2019)
RR
Kentucky(10/18/2019)
RR
Louisiana(1/31/2022)
RR
Maryland(8/31/2020)
RR
Michigan(10/18/2019)
RR
Mississippi(8/10/2022)
RR
Montana(10/18/2019)
RR
New Jersey(10/18/2019)
RR
New Mexico(10/18/2019)
RR
North Carolina(10/18/2019)
IAR
North Carolina(10/18/2019)
RR
Ohio(10/18/2019)
RR
Pennsylvania(10/18/2019)
RR
South Carolina(10/18/2019)
RR
Tennessee(10/18/2019)
RR
Texas(10/18/2019)
IAR
Texas(12/5/2019)
RR
Utah(7/17/2025)
RR
Virginia(3/16/2020)
RR
Washington(10/18/2019)
RR
Wisconsin(7/30/2020)
Exams
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
CRD#: 8158Asheville, NC 28801TRUST BUT VERIFY
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Contact information
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