DA
David P. Allen
ROBERT W. BAIRD & CO.
St Louis, MO
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CRD#: 3205
DA
Professional summary
David Paul Allen is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in St Louis, Missouri.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. David has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, PC, Series 1, Series 12 and Series 40 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.
PART OWNER IN TWIGGS & MOSS A RETAIL GIFT SHOP. 7715 CLAYTON RD., ST. LOUIS, MO 63112. I AM A NON PARTICIPATING PARTNER.
ARTHUR LLC,REAL ESTATE INVESTMENT-PROPERTY,31 RAMSGATE DR.,ST. LOUIS, MO 63132, REAL ESTATE-GENERAL PARTNER,5/1/1985,1-3 HOURS/MONTH AFTER SECURITY TRADING HOURS,PAY MONTHLY LLC BILLS
ORDRE MONDIAL CHAPITRE DU SAINT LOUIS-ARGENTIER TREASURER
CRS (Client Relationship Summary) - RIA
Click below to view David Paul Allen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Paul Allen'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
May 17, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #2: Two City Place Drive Suite 271, St. Louis, MO 63141RIA
BD
CRD#: 8158
St Louis, MO
Current
May 17, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: Two City Place Drive Suite 271, St. Louis, MO 63141RIA
BD
CRD#: 8158
St. Louis, MO
Past
November 5, 2007 - May 24, 2019
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
ST. LOUIS, MO
Past
April 15, 2003 - November 13, 2007
OPPENHEIMER ASSET MANAGEMENT
RIA
CRD#: 105559
NEW YORK, NY
Past
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
ST. LOUIS, MO
Past
January 3, 2003 - May 24, 2019
OPPENHEIMER & CO. INC.
BD
CRD#: 249
ST. LOUIS, MO
Past
October 30, 1997 - January 3, 2003
CIBC WORLD MARKETS CORP.
RIA
CRD#: 630
ST. LOUIS, MO
Past
March 3, 1993 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
May 9, 1989 - March 16, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 9, 1987 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
March 19, 1968 - June 17, 1987
R. ROWLAND & CO., INCORPORATED
BD
CRD#: 911
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
Arizona(5/17/2019)
RR
Arkansas(5/17/2019)
RR
California(5/17/2019)
RR
Colorado(5/17/2019)
RR
Delaware(5/17/2019)
RR
Florida(5/17/2019)
IAR
Florida(5/20/2019)
RR
Illinois(5/17/2019)
RR
Indiana(5/17/2019)
RR
Massachusetts(6/27/2019)
RR
Michigan(5/17/2019)
RR
Minnesota(7/11/2019)
RR
Missouri(5/17/2019)
IAR
Missouri(5/17/2019)
RR
New Jersey(5/17/2019)
RR
New York(5/17/2019)
RR
Ohio(5/17/2019)
RR
Oklahoma(5/17/2019)
RR
Pennsylvania(5/17/2019)
RR
Tennessee(5/17/2019)
RR
Texas(5/17/2019)
IAR
Texas(5/17/2019)
RR
Vermont(5/17/2019)
RR
Virginia(6/5/2019)
RR
Washington(5/17/2019)
RR
Wisconsin(5/17/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
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
RR
PC
Date: 4/29/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 3/14/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 12
Date: 8/18/1973
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 5/12/1973
Registered Principal 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.
