Gerald T. Curry
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.
Gerald Thomas Curry, who also goes by Gerald Thomas Curry, Gerry Curry, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1970. Gerald had worked at 11 firms and has passed the Series 63, Series 7, Series 6, Series 5, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 1997 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
November 3, 1997 - September 3, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 6, 1985 - September 29, 1987
INVEST FINANCIAL CORPORATION
May 16, 1984 - October 21, 1985
MOSELEY SECURITIES CORPORATION
March 21, 1984 - April 13, 1984
ZELLER, TORYKIAN & CO. INC.
April 14, 1982 - July 25, 1983
PRESCOTT, BALL & TURBEN, INC.
August 15, 1980 - November 25, 1981
CITIGROUP GLOBAL MARKETS INC.
February 22, 1978 - March 14, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 3, 1975 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
October 29, 1974 - May 24, 1975
DEAN WITTER & CO. INCORPORATED
November 15, 1973 - September 5, 1974
WHITE, WELD & CO. INCORPORATED
May 19, 1970 - December 15, 1973
LEHMAN BROTHERS INCORPORATED
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 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 1
Date: 6/24/1966
Registered Representative ExaminationCurrent 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.
