Robert C. Porter
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 Curtis Porter, who also goes by Curt Porter, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2019 - March 10, 2023
ROBERT W. BAIRD & CO. INCORPORATED
October 18, 2019 - March 10, 2023
ROBERT W. BAIRD & CO. INCORPORATED
February 25, 2009 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
February 20, 2009 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
January 1, 2008 - March 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - March 4, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 7, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
May 18, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 15, 2005 - May 21, 2007
INTL ADVISORY CONSULTANTS INC.
July 20, 2004 - January 3, 2007
STERNE, AGEE & LEACH, INC.
July 16, 2004 - May 21, 2007
STERNE, AGEE & LEACH, INC.
July 1, 2003 - July 20, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 16, 1996 - July 20, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 22, 1995 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 8, 1987 - December 4, 1995
UBS FINANCIAL SERVICES INC.
November 28, 1986 - September 21, 1987
CITIGROUP GLOBAL MARKETS INC.
October 27, 1980 - December 4, 1995
UBS FINANCIAL SERVICES INC.
February 1, 1979 - November 24, 1980
CITIGROUP GLOBAL MARKETS INC.
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: 12/12/1981
Interest Rate Options ExaminationSeries 8
Date: 7/21/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
