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Information

Other Names: Gordon Owens, Gordon Owens Jr, H Gordon Owens ...(see more)
Firm:
Type: Dual Registration
Description

Horace Owens is a financial professional at Robert W. Baird & Co. Incorporated, a broker-dealer with over 2,150 registered representatives nationwide. Horace has held an industry securities registration for 15 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Horace Gordon Owens has not answered any questions on Financial Q&A.

Top Guides

Horace Gordon Owens has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Business Development Companies
Other Investment Advisors
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
High Net Worth Individuals
Insurance Companies

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

Experience and Employment History

Employer Years Dates
NMIS 12 years, 4 months Dec 2001 - Present
Robert W. Baird & Co. Incorporated 16 years Apr 1998 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/06/2013, 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

Regulator
License Status
Registered
Registered
Disclosures

2 Customer Disputes

2 Customer Disputes

As of Date
11/06/2013
12/08/2013
*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

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 05/18/2004
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 06/29/1998
Uniform Securities Agent State Law Examination Series 63 08/28/1992
General Securities Representative Examination Series 7 08/03/1992

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Performance-based Fees