Aisha A. Rada
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.
Aisha Ann Rada, who also goes by Aisha Ann Hall, Aisha Ann Vaughan, was a registered financial professional .
Aisha is a previously registered financial professional and started their career in finance in 2014. Aisha had worked at 9 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2024 - September 10, 2025
ROBERT W. BAIRD & CO. INCORPORATED
December 2, 2024 - September 10, 2025
ROBERT W. BAIRD & CO. INCORPORATED
June 23, 2022 - November 21, 2024
J.P. MORGAN SECURITIES LLC
June 22, 2022 - November 21, 2024
J.P. MORGAN SECURITIES LLC
December 10, 2020 - June 15, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
November 13, 2020 - June 15, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
October 1, 2019 - November 17, 2020
J.P. MORGAN SECURITIES LLC
March 16, 2017 - November 8, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 16, 2017 - November 8, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 14, 2016 - October 26, 2016
HIGHTOWER ADVISORS, LLC
July 14, 2016 - October 26, 2016
HIGHTOWER SECURITIES, LLC
December 21, 2015 - July 5, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 2015 - July 5, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 2015 - November 17, 2015
MORGAN STANLEY
December 9, 2014 - November 17, 2015
MORGAN STANLEY
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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.
