Bradley J. Harriman

ROBERT W. BAIRD & CO.

Germantown, TN 38138

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CRD#: 5913990

Professional summary

Bradley Joseph Harriman, who also goes by Brad Harriman, Bradley J Harriman, is a registered financial professional currently at ROBERT W. BAIRD & CO. INCORPORATED located in Germantown, Tennessee.

Bradley is registered as a RR (Registered Representative) and started their career in finance in 2011. Bradley has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brad Harriman | Bradley J Harriman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bradley Joseph Harriman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 7, 2023 - Present

ROBERT W. BAIRD & CO. INCORPORATED

Office #1: 6815 Poplar Ave Suite 120 Lk, Germantown, TN 38138

RIA

CRD#: 8158

Germantown, TN

Past

January 29, 2013 - May 15, 2023

TRUIST SECURITIES, INC.

CRD#: 6271

MEMPHIS, TN

Past

May 31, 2011 - January 30, 2013

ICBA SECURITIES

CRD#: 24088

MEMPHIS, TN

Past

May 24, 2011 - January 30, 2013

VINING-SPARKS IBG, LLC

CRD#: 27502

MEMPHIS, TN

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.

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

Alabama
(7/7/2023)

Alaska
(7/7/2023)

Arizona
(7/7/2023)

Arkansas
(7/7/2023)

California
(7/7/2023)

Colorado
(7/7/2023)

Connecticut
(7/7/2023)

Delaware
(7/7/2023)

District of Columbia
(7/7/2023)

Florida
(7/7/2023)

Georgia
(7/7/2023)

Hawaii
(7/7/2023)

Idaho
(7/7/2023)

Illinois
(7/7/2023)

Indiana
(7/7/2023)

Iowa
(7/7/2023)

Kansas
(7/7/2023)

Kentucky
(7/7/2023)

Louisiana
(7/7/2023)

Maine
(7/7/2023)

Maryland
(7/7/2023)

Massachusetts
(7/7/2023)

Michigan
(7/7/2023)

Minnesota
(7/7/2023)

Mississippi
(7/7/2023)

Missouri
(7/7/2023)

Montana
(7/7/2023)

Nebraska
(7/7/2023)

Nevada
(7/7/2023)

New Hampshire
(7/7/2023)

New Jersey
(7/7/2023)

New Mexico
(7/7/2023)

New York
(7/7/2023)

North Carolina
(7/7/2023)

North Dakota
(7/7/2023)

Ohio
(7/7/2023)

Oklahoma
(7/7/2023)

Oregon
(7/7/2023)

Pennsylvania
(7/7/2023)

Puerto Rico
(7/7/2023)

Rhode Island
(7/7/2023)

South Carolina
(7/7/2023)

South Dakota
(7/7/2023)

Tennessee
(7/7/2023)

Texas
(7/7/2023)

Utah
(7/7/2023)

Vermont
(7/7/2023)

Virginia
(7/7/2023)

Washington
(7/7/2023)

West Virginia
(7/7/2023)

Wisconsin
(7/7/2023)

Wyoming
(7/7/2023)

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

Series 63

Date: 5/31/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/23/2011

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

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 (12/15/2025)

BAIRD GENERATIONAL WEALTH GROUP - WRAP (12/15/2025)

BAIRD INSTITUTIONAL CONSULTING SERVICES (12/15/2025)

THE DDK GROUP (12/15/2025)

BAIRD PRIVATE ASSET MANAGEMENT (12/15/2025)

BAIRD GENERATIONAL WEALTH GROUP (12/15/2025)

BAIRD EQUITY ASSET MANAGEMENT - CHAUTAUQUA CAPITAL MANAGEMENT (12/15/2025)

BAIRD FINANCIAL PLANNING SERVICES (12/15/2025)

BAIRD PRIVATE WEALTH MANAGEMENT (12/15/2025)

THE DDK GROUP - WRAP (12/15/2025)

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

BAIRD ADVISORS (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
12/23/2025	Cover Page	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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Advisor Monitoring

Firm Stability Insights

Bradley J. Harriman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bradley Joseph Harriman's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

TRUIST SECURITIES, INC.

ICBA SECURITIES

VINING-SPARKS IBG, LLC

Primary Firm SEC Registration

ROBERT W. BAIRD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/31/2011

SIE

Date: 10/1/2018

Series 7

Date: 5/23/2011

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

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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