Our Staff has compiled our research into a database of FINRA Broker Disclosures for Robert W. Baird & Co. Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Steve Hour Heng | 2263637 | 1 | 04/14/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shelley Kaye Occhiuto | 1692567 | 1 | 10/24/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Spencer Bradley | 2136435 | 3 | 02/11/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian A Frank | 6109576 | 1 | 04/11/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas James Adams | 3160022 | 1 | 06/12/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Lee Smith | 2785014 | 1 | 05/09/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lynn Michelle Rogers | 4438629 | 1 | 01/31/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Anthony Oricoli | 1872164 | 1 | 12/15/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Witteman Trapp | 1256036 | 1 | 06/14/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Witteman Trapp | 6196076 | 1 | 06/14/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |