Robert S. Baldwin
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.
Robert Smith Baldwin, who also goes by Bob Baldwin, Robert S Baldwin, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1975. Robert had worked at 3 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 1995 - August 12, 1998
IAC SECURITIES, INC.
August 8, 1987 - July 15, 1992
ROBERT W. BAIRD & CO. INCORPORATED
October 6, 1975 - February 9, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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 1
Date: 9/25/1975
Registered Representative ExaminationCurrent Firm
IAC SECURITIES, INC.
CRD#: 14081 / SEC#: , 8-30220
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
