David Paul Allen

Employer firm

Robert W. Baird & Co. Incorporated CRD 8158

$394B regulatory AUM 19,985 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers

Robert W. Baird & Co. Incorporated

777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States

Current Registrations

Authority	Category	Status	Date
MO	RA	APPROVED	2019-05-24
FL	RA	APPROVED	2019-05-20
TX	RA	APPROVED_RES	2019-05-19

MO RA
APPROVED

Since 2019-05-24
FL RA
APPROVED

Since 2019-05-20
TX RA
APPROVED_RES

Since 2019-05-19

Branch Locations

Two City Place Drive Suite 271, St. Louis, MO 63141 • United States

St Louis, MO • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Oppenheimer Asset Management Inc.	New York	NY	04/2003	05/2019
Rw Baird	Creve Coeur	MO	05/2019	Present

04/2003 → 05/2019

Oppenheimer Asset Management Inc.

New York, NY
05/2019 → Present

Rw Baird

Creve Coeur, MO

Previous Registrations

2003-01-03 → 2019-05-24

Oppenheimer & Co. Inc.

St. Louis, MO

St. Louis, MO
2003-04-15 → 2007-11-13

Oppenheimer Asset Management

New York, NY
1997-10-30 → 2003-01-03

Cibc World Markets Corp.

St. Louis, MO

Other Businesses

PART OWNER IN TWIGGS & MOSS A RETAIL GIFT SHOP. 7715 CLAYTON RD., ST. LOUIS, MO 63112. I AM A NON PARTICIPATING PARTNER. ARTHUR LLC,REAL ESTATE INVESTMENT-PROPERTY,31 RAMSGATE DR.,ST. LOUIS, MO 63132, REAL ESTATE-GENERAL PARTNER,5/1/1985,1-3 HOURS/MONTH AFTER SECURITY TRADING HOURS,PAY MONTHLY LLC BILLS ORDRE MONDIAL CHAPITRE DU SAINT LOUIS-ARGENTIER TREASURER

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-09-23
S63	Uniform Securities Agent State Law Examination	1988-07-28

S65 Uniform Investment Adviser Law Examination

1992-09-23
S63 Uniform Securities Agent State Law Examination

1988-07-28

View on SEC IAPD