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James Norris: Baird Advisor Lands 6-Figure Complaint

Ashland, Kentucky financial advisor James Norris (CRD# 1054381) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Robert W. Baird & Company.

Mr. Norris’s BrokerCheck report discloses one investor complaint. Filed in April 2024, it alleges that as a representative of Robert W. Baird & Company, he failed to follow the customer’s instructions. The pending complaint alleges damages of $222,320.

Robert W. Baird & Company’s website includes a profile of Mr. Norris in which he describes his background and values. “Quality, perspective, honesty and integrity: my core values are at the center of everything I do,” he writes. “You can count on that. From day one, I’m an advocate for you and your legacy. I believe in your success because I know how hard you’ve worked to get here, and I’m confident about everything you can accomplish in the future. That’s why I’m an advisor for Baird.”

Elsewhere on that page, he describes his approach to working with clients. “After years in the business, I have developed a reputation for educating individuals in an easy-to-understand manner so they can grasp personal finance and use those concepts to pursue their financial objectives,” he explains. “I feel a commitment to our community.”

According to the Financial Industry Regulatory Authority, James Norris holds 41 years of securities industry experience. Based in Ashland, Kentucky, he has been a broker and an investment advisor with Robert W. Baird & Company since 2019. His past registrations include JJB Hilliard WL Lyons (Ashland, Kentucky; 1996-2019), JC Bradford & Company (New York, New York; 1983-1996), and Brokers Exchange (1982-1983). His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He holds 33 state licenses. (Information current as of May 27, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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