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DAVID SOLOMON EPSTEIN
CRD#: 1318090
IA
B
ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 777 EAST WISCONSIN AVE
MILWAUKEE, WI 53202
MILWAUKEE, WI 53202
View By:
2/7/2003
Customer Dispute
Award / Judgment
10/2/2002
Customer Dispute
Denied
State Registrations
B
Alabama 12/2/2002
B
Nevada 11/27/2002
B
Arizona 11/27/2002
B
New Hampshire 3/20/2013
B
California 11/27/2002
B
New Jersey 11/27/2002
B
Colorado 11/27/2002
B
New Mexico 9/27/2005
B
Connecticut 11/27/2002
B
New York 11/27/2002
B
Delaware 7/11/2014
B
North Carolina 11/27/2002
B
District of Columbia 11/27/2002
B
North Dakota 1/7/2005
B
Florida 12/5/2002
B
Ohio 11/27/2002
IA
Florida 7/18/2017
B
Oklahoma 8/15/2003
B
Georgia 11/27/2002
B
Oregon 11/27/2002
B
Hawaii 3/6/2013
B
Pennsylvania 11/27/2002
B
Idaho 1/4/2013
B
Puerto Rico 11/1/2006
B
Illinois 11/27/2002
B
Rhode Island 11/27/2002
B
Indiana 12/2/2002
B
South Carolina 11/27/2002
B
Iowa 11/15/2004
B
South Dakota 1/23/2008
B
Kansas 1/28/2013
B
Tennessee 3/19/2013
B
Kentucky 7/2/2013
B
Texas 11/27/2002
B
Louisiana 1/25/2007
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Texas 3/21/2017
B
Maine 11/27/2002
B
Utah 1/31/2007
B
Maryland 11/27/2002
B
Vermont 11/17/2009
B
Massachusetts 12/3/2002
B
Virginia 11/27/2002
B
Michigan 11/27/2002
B
Washington 11/27/2002
B
Minnesota 11/27/2002
B
Wisconsin 11/27/2002
B
Missouri 1/4/2006
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Wisconsin 11/27/2002
B
Montana 11/27/2002
B
Wyoming 11/6/2013
B
Nebraska 11/27/2002
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 11/27/2002
B
Registered with this firm since 2/6/1985
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/06/1985 - 11/27/2002 | MILWAUKEE, WI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.