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Patrick Steven Lawton

Firm:
Robert W. Baird & Co. Incorporated
Director
Type: Dual Registration
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Description

Patrick Lawton an executive and has an ownership stake of Robert W. Baird & Co. Incorporated, a broker-dealer with over 1,750 registered representatives nationwide. Patrick has held an industry securities registration for 31 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Patrick Steven Lawton has not answered any questions on Financial Q&A.

Top Guides

Patrick Steven Lawton has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
Charitable Organizations
Investment Companies
State or Municipal Government Entities
Other Investment Advisors
Business Development Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Robert W. Baird & Co. Incorporated 9 years May 2004 - Present
Robert W Baird 25 years, 3 months Feb 1988 - Present
Robert W. Baird & Co. Incorporated 25 years, 3 months Feb 1988 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 10/17/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
10/17/2011
10/08/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Limited Representative-Equity Trader Exam Series 55 10/11/1999
Municipal Securities Principal Examination Series 53 09/07/1990
General Securities Principal Examination Series 24 09/06/1990
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 09/05/1990
National Commodity Futures Examination Series 3 08/17/1982
Interest Rate Options Examination Series 5 12/12/1981
General Securities Representative Examination Series 7 09/19/1981
Uniform Securities Agent State Law Examination Series 63 08/27/1981

Firm Compensation Arrangements

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No compensation arrangements listed.