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Vernon Garfield Allport Jr

CRD# 830092·Registered 1976 - 1983
Previously Registered: Being a previously registered professional could mean that Vernon 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.

Professional Summary

Vernon Garfield Allport JR was a registered financial advisor. Vernon was a previously registered financial professional and started their career in finance 1976 - 1983. Vernon had worked at 6 firms and has passed the Series 7 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

50 years in the financial services industry

Current & Past Employments

BAIRD, PATRICK & CO., INC.·CRD# 1149
BD
November 4, 1982 - October 11, 1983
BAIRD, PATRICK & CO., INC.·CRD# 1149
BD
July 29, 1982 - September 7, 1982
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
January 29, 1982 - July 27, 1982
ROSS, STEBBINS INC.·CRD# 6381
BD
May 22, 1980 - July 21, 1981
FITTIN, CUNNINGHAM & LAUZON, INC.·CRD# 6866
BD
October 24, 1978 - June 4, 1980
WILLIAM A. BARNES·CRD# 6074
BD
February 6, 1978 - November 30, 1978
HUGH JOHNSON & COMPANY INC.·CRD# 417
BD
December 1, 1976 - December 9, 1977

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Current Firm

BP
BAIRD, PATRICK & CO., INC.

BAIRD, PATRICK & CO., INC.

CRD#: 1149 / SEC#: 8-18029
BD
Terminated by SEC on 01/29/2018

Contact Information

Established

Delaware since 12/21/1973

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
PATRICK, STUART KAVANAUGHPRESIDENT, DIRECTOR,CCO, TRUSTEE357788
CASTRO, JILL CHRISTINESHAREHOLDER2269266
THE GST EXEMPT T/U/W TIMOTHY A. PATRICK DECEASED,STUART K. PATRICK TTEESTOCKHOLDER/TTEE—
AHLFELD, JAMES BFINANCIAL AND OPERATIONS PRINCIPAL4955796

Disclosures

Regulatory Event

17

Arbitration

2

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7 — General Securities Representative Examination

Passed Nov 1976About the Series 7 exam

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CRS (Client Relationship Summary)

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

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