GEORGE WEEDON GARDNER is currently employed as a Broker and/or Investment Adviser at ROBERT W. BAIRD & CO. INCORPORATED located at 227 WEST MONROE STREET, CHICAGO, IL, 60606.
GEORGE WEEDON GARDNER has worked at ROBERT W. BAIRD & CO. INCORPORATED since February 01, 2002
Disclosure History
GEORGE WEEDON GARDNER has 1 Disclosure Event(s).
Date: August 11, 2014 Category: Regulatory Initiated By: FLORIDA OFFICE OF FINANCIAL REGULATION Allegations: CONDUCTED INVESTMENT ADVISORY BUSINESS FROM OFFICES WITHIN THIS STATE WITHOUT THE BENEFIT OF LAWFUL REGISTRATION Resolution: Order SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $3,500.00 Broker Comment: AS BAIRD REQUIRES, GEORGE GARDNER PROPERLY INFORMED BAIRD'S REGISTRATIONS DEPARTMENT OF HIS ACTIVITIES IN FLORIDA IN ACCORDANCE WITH BAIRD'S INTERNAL PROCEDURES. HE JUSTIFIABLY AND REASONABLY RELIED ON BAIRD'S REGISTRATIONS DEPARTMENT TO COMPLETE HIS STATE REGISTRATIONS. THROUGH AN ADMINISTRATIVE OVERSIGHT, BAIRD FAILED TO REGISTER MR. GARDNER AND THREE OTHER FINANCIAL ADVISORS AS INVESTMENT ADVISOR REPRESENTATIVES IN FLORIDA FOR A PERIOD OF TIME. WHEN THE INADVERTENCE WAS DISCOVERED, BAIRD SELF-REPORTED IT. AT ALL APPROPRIATE TIMES, MR. GARDNER MAINTAINED THE REQUISITE STATE LICENSING TO SELL SECURITIES IN FLORIDA AND OTHER STATES WHERE HE SERVICES CLIENTS.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for GEORGE WEEDON GARDNER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.