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DAVID LELAND MARSHALL
DAVID MARSHALL
CRD#: 6074757
IA
B
ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 1035 Frederica St
Suite 100
Owensboro, KY 42301
Suite 100
Owensboro, KY 42301
0
Disclosures
12
Years of Experience
View By:
State Registrations
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Alabama 10/18/2019
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Mississippi 10/18/2019
B
Arizona 1/31/2023
B
Missouri 10/18/2019
B
California 10/18/2019
B
Montana 1/31/2020
B
Colorado 1/31/2020
B
Nebraska 7/10/2023
B
Connecticut 6/30/2020
B
New Mexico 1/31/2020
B
Florida 10/18/2019
B
New York 1/31/2020
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Florida 1/15/2021
B
North Carolina 10/18/2019
B
Georgia 10/18/2019
B
Ohio 10/18/2019
B
Illinois 10/18/2019
B
Oklahoma 1/31/2020
B
Indiana 10/18/2019
B
Pennsylvania 9/27/2022
B
Kansas 1/31/2020
B
South Carolina 10/18/2019
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Kentucky 10/18/2019
B
Tennessee 10/18/2019
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Kentucky 10/18/2019
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Texas 10/18/2019
B
Louisiana 10/18/2019
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Texas 12/4/2019
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Maryland 10/18/2019
B
Utah 1/31/2020
B
Massachusetts 10/18/2019
B
Virginia 2/28/2020
B
Michigan 10/18/2019
B
Washington 9/7/2022
B
Minnesota 3/14/2023
SRO Registrations
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IA
Registered with this firm since 10/18/2019
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Registered with this firm since 10/18/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/12/2012 - 10/18/2019 | OWENSBORO, KY | |
B | 08/08/2012 - 10/18/2019 | OWENSBORO, KY |
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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.