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Alexander James Smith

Description

Alexander Smith a financial professional at Robert W. Baird & Co. Incorporated, a broker-dealer with over 1,750 registered representatives nationwide. Alexander has held an industry securities registration for 14 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

Alexander James Smith has not answered any questions on Financial Q&A.

Top Guides

Alexander James Smith 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
R.W. Baird 17 years, 8 months Oct 1995 - Present
Robert W. Baird & Co. Incorporated 17 years, 8 months Oct 1995 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 02/13/2013, 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

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
02/13/2013
03/24/2013
*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

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 02/23/2004
Uniform Securities Agent State Law Examination Series 63 01/18/1999
General Securities Representative Examination Series 7 10/13/1998

Firm Compensation Arrangements

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No compensation arrangements listed.