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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

AuthorityCategoryStatusDate
FL RA APPROVED 2017-12-11
TX RA APPROVED_RES 2016-11-01
IA RA APPROVED 1999-01-01
  • FL RA
    APPROVED
    Since 2017-12-11
  • TX RA
    APPROVED_RES
    Since 2016-11-01
  • IA RA
    APPROVED
    Since 1999-01-01

Branch Locations

200 5Th Avenue Se Suite 102, Cedar Rapids, IA 52401 • United States

3626 Bridge Ave, Quad Cities, IA 52807 • 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
OrganizationCityStateFromTo
Robert W. Baird & Co. Incorporated Cedar Rapids IA 10/1996 Present
Other Businesses

NAME AND ADDRESS: KIRKWOOD COMMUNITY COLLEGE KIRKWOOD BOULEVARD SW CEDAR RAPIDS, IA 52404 NATURE OF ENTITY: COMMUNITY COLLEGE RESPONSIBILTIES IN THIS ROLE: ATTEND QUARTERLY COMMITTEE MEETINGS, LISTEN TO SCHOOL'S INVESTMENT CONSULTANT PRESENTATION, PROVIDE MODEST LEVEL OF OVERSIGHT/ADVICE HOURS DEVOTED: 4 HOURS PER YEAR. NONE DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-02-19
S63 Uniform Securities Agent State Law Examination 1993-02-12
  • S65 Uniform Investment Adviser Law Examination
    1993-02-19
  • S63 Uniform Securities Agent State Law Examination
    1993-02-12
Other Names
  • Douglas Wenzel

View on SEC IAPD

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