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Horace Gordon Owens

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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 2,200 registered representatives nationwide. Horace has held an industry securities registration for 22 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
NMIS 12 years, 10 months Dec 2001 - Present
Robert W. Baird & Co. Incorporated 16 years, 6 months Apr 1998 - Present
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 05/18/2004
General Securities Sales Supervisor Examination (Options Module & GeneralModule)Series 8 06/29/1998
Uniform Securities Agent State Law ExaminationSeries 63 08/28/1992
General Securities Representative ExaminationSeries 7 08/03/1992

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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

2 Customer Disputes

2 Customer Disputes

As of Date
09/08/2014
06/23/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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