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Bert Bennet Terminated by Robert W. Baird & Co.

Bert Bennet (CRD #: 3258239) has been fired by Robert W. Baird & Co. This disclosure appears on his BrokerCheck record, accessed on June 6, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On April 10, 2024, Robert W. Baird & Co. Incorporated fired Bert Bennet following allegations that he failed to follow firm policy prohibiting brokers from serving as successor trustee and Power of Attorney for a client.

FINRA Rule 3241

FINRA Rule 3241 prohibits brokers from being named as a beneficiary, executor, or trustee or holding other positions of trust for a client, except under certain circumstances. 

Background Information 

Bert Bennet has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination
  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination

During his 12 years of experience, he has registered with five firms: 

  • Robert W. Baird & Co. Incorporated (CRD #: 8158) 
  • Morgan Stanley (CRD #: 149777) 
  • TIAA-CREF Individual & Institutional Services (CRD #: 20472) 
  • BirchTree Financial Services (CRD #: 15014) 
  • Wachovia Securities (CRD #: 19616) 

Kurta Law Can Help 

If you have worked with Bert Bennet and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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