Home  >  BrightScope Advisor Pages  >  Horace Gordon Owens

Horace Gordon Owens

Is this you? (Click to claim profile)
Contact Advisor


Other Names: Gordon Owens, Gordon Owens Jr, H Gordon Owens ...(see more)
Type: SEC and FINRA Registered

Horace Owens is a financial professional at Robert W. Baird & Co. Incorporated, a broker-dealer with over 2,400 registered representatives nationwide. Horace has held an industry securities registration for 22 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
NMIS 14 years Dec 2001 - Present
Robert W. Baird & Co. Incorporated 17 years, 8 months Apr 1998 - Present
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 Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

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

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

Licenses and Conduct

License Status

2 Customer Disputes

2 Customer Disputes

As of Date
*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

Types of Compensation Arrangements

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