Daniel Joseph Sullivan

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
FL	RA	APPROVED	2018-12-03
TX	RA	APPROVED_RES	2018-12-03
MO	RA	APPROVED	2018-11-30

FL RA
APPROVED

Since 2018-12-03
TX RA
APPROVED_RES

Since 2018-12-03
MO RA
APPROVED

Since 2018-11-30

Branch Locations

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

4617 North Prospect Road, Peoria Heights, IL 61616 • United States

Saint Louis, MO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Fahnestock & Co. Inc.	St. Louis	MO	01/2003	11/2018
Robert W Baird & Co Inc	Creve Coeur	MO	11/2018	Present

01/2003 → 11/2018

Fahnestock & Co. Inc.

St. Louis, MO
11/2018 → Present

Robert W Baird & Co Inc

Creve Coeur, MO

Previous Registrations

2003-01-03 → 2018-12-07

Oppenheimer & Co. Inc.

St. Louis, MO

St. Louis, MO
1997-10-30 → 2003-01-03

Cibc World Markets Corp.

St. Louis, MO

Other Businesses

Name/Address: LakePointe Condominium Owners' Association 6620 LakePointe Dr Osage Beach Missouri 65065 Start Date: 4/1/21 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: HOA Trustee; Check signing authority Non Investment Related Name/Address: Archdiocese of St. Louis / 20 Archbishop May Drive, St. Louis, MO, 63119 Start Date: 1/1/24 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-2 hours/month Role/Responsibility: Investment Committee Member Investment Related

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-01-11
S63	Uniform Securities Agent State Law Examination	1997-02-10

S65 Uniform Investment Adviser Law Examination

2008-01-11
S63 Uniform Securities Agent State Law Examination

1997-02-10

View on SEC IAPD