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Mary Howard Resigns from Robert W. Baird & Company

Mary Howard (CRD #: 2198403), a broker registered with RBC Capital Markets, resigned from her previous firm following an alleged policy violation, according to her BrokerCheck record, accessed on June 8, 2023. If you want to know more about her alleged conduct as a broker, read on.

Resignation from Robert W. Baird & Company

On April 3, 2023, Mary Howard was permitted to resign from Robert W. Baird & Company after allegedly violating firm policy by sending client data to her personal email address.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Mary Howard has passed the following exams:

  • 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 24 – General Securities Principal Examination

Mary Howard is a registered broker in 21 states and the District of Columbia. She is also a registered investment adviser in South Dakota and Texas.

She has also worked for the following firms:

  • Robert W. Baird & Company (CRD#:8158)
  • Wells Fargo Advisors Financial Network (CRD#:11025)
  • U.S. Bancorp Piper Jaffray (CRD#:665)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)

Kurta Law Can Help

If you worked with Mary Howard and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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. 

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