Jon L. Narmi

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CRD#: 344962

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.

Jon Louis Narmi was a registered financial professional .

Jon is a previously registered financial professional and started their career in finance in 1972. Jon had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, PC, Series 000, Series 1, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

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.

NAME AND ADDRESS: JON NARMI, AUTHOR 567 COGELYWOOD LANE COUNCIL BLUFFS, IA 51503 NATURE OF ENTITY: I WROTE AND PUBLISHED A BOOK, SEAL TEAM 6, BIN LADEN AND BEYOND, in 2011. THE BOOK IS NON-BUSINESS RELATED. THE BOOK IS AVAILABLE AT AMAZON.COM AND NARMINOVELS.COM, WHICH DRIVES THE BUYER TO AMAZON.COM. RESPONSIBILITIES IN THIS ROLE: I WROTE THE BOOK, AND DO CONDUCT SOME BOOK SIGNINGS. HOURS DEVOTED: ONE HOUR PER MONTH. NONE DURING SECURITIES TRADING HOURS .

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 14, 2012 - March 11, 2022

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

OMAHA, NE

Past

September 14, 2012 - March 11, 2022

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

OMAHA, NE

Past

June 1, 2009 - September 27, 2012

MORGAN STANLEY

RIA

CRD#: 149777

OMAHA, NE

Past

June 1, 2009 - September 27, 2012

MORGAN STANLEY

CRD#: 149777

OMAHA, NE

Past

October 28, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

OMAHA, NE

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

OMAHA, NE

Past

August 18, 1983 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 25, 1972 - May 3, 1974

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

February 22, 1972 - August 24, 1983

CHILES, HEIDER & CO., INC.

CRD#: 5159

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

CRD#: 8158 / SEC#: 801-7571, 8-497

RIA

Registered Investment Advisory firm - SEC (7/14/1971 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/6/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/5/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/15/1982

National Commodity Futures Examination

General Industry/Product Exam

PC

Date: 5/19/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 2/22/1972

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 2/22/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 9

Date: 2/8/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 2/2/2001

General Securities Sales Supervisor - General Module Examination

Current Firm

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158 / SEC#: 801-7571, 8-497

RIA

Registered Investment Advisory firm - SEC (7/14/1971 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BAIRD PRIVATE ASSET MANAGEMENT - WRAP (3/21/2025)

BAIRD GENERATIONAL WEALTH GROUP - WRAP (3/21/2025)

BAIRD ADVISORS (3/21/2025)

BAIRD PRIVATE ASSET MANAGEMENT (3/21/2025)

BAIRD GENERATIONAL WEALTH GROUP (3/21/2025)

BAIRD INSTITUTIONAL EQUITY RESEARCH SERVICES (3/21/2025)

BAIRD EQUITY ASSET MANAGEMENT - CHAUTAUQUA CAPITAL MANAGEMENT (3/21/2025)

BAIRD FINANCIAL PLANNING SERVICES (3/21/2025)

BAIRD PRIVATE WEALTH MANAGEMENT (3/21/2025)

THE DDK GROUP - WRAP (3/21/2025)

THE DDK GROUP (3/21/2025)

BAIRD INSTITUTIONAL CONSULTING SERVICES (3/21/2025)

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	Cover Page	Report
11/15/2023	Cover Page	Report

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.

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Jon L. Narmi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CHILES, HEIDER & CO., INC.

Primary Firm SEC Registration

ROBERT W. BAIRD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/1992

Series 63

Date: 11/5/1983

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 12/15/1982

PC

Date: 5/19/1977

Series 000

Date: 2/22/1972

Series 1

Date: 2/22/1972

Series 9

Date: 2/8/2001

Series 10

Date: 2/2/2001

Current Firm

ROBERT W. BAIRD & CO. INCORPORATED

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROBERT W. BAIRD & CO. INCORPORATED

TRUST BUT VERIFY

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