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Scott Alan George

Robert W. Baird & Co. Incorporated

New Hartford, NY

Sentry Park, PA

Cape Coral, FL

New Hartford, NY

CRD 2638248

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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
NY RA APPROVED 2021-05-12
IN RA APPROVED 2018-12-17
TX RA APPROVED 2018-12-17
FL RA APPROVED 2018-12-10
CA RA APPROVED 2018-12-07
  • NY RA
    APPROVED
    Since 2021-05-12
  • IN RA
    APPROVED
    Since 2018-12-17
  • TX RA
    APPROVED
    Since 2018-12-17
  • FL RA
    APPROVED
    Since 2018-12-10
  • CA RA
    APPROVED
    Since 2018-12-07

Branch Locations

555 French Rd, Building 2, New Hartford, NY 13413 • United States

4 Sentry Parkway Suite 102, Sentry Park, PA 19422 • United States

Cape Coral, FL • United States

New Hartford, NY • 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
M. Griffith Locke Investment Sevices Inc. New Hartford NY 07/2005 12/2018
Robert W Baird & Co. New Hartford NY 12/2018 Present
  • 07/2005 → 12/2018
    M. Griffith Locke Investment Sevices Inc.
    New Hartford, NY
  • 12/2018 → Present
    Robert W Baird & Co.
    New Hartford, NY
Previous Registrations
  • 2007-05-15 → 2018-12-12
    M. Griffith Investment Services, Inc.
    New Hartford, NY
    New Hartford, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-30
S63 Uniform Securities Agent State Law Examination 1995-07-26
  • S65 Uniform Investment Adviser Law Examination
    2007-03-30
  • S63 Uniform Securities Agent State Law Examination
    1995-07-26
Designations
  • Certified Financial Planner
Other Names
  • Scott Alan George

View on SEC IAPD

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Nearby Investors

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Nearby Offices

MML INVESTORS SERVICES, LLC · New Hartford, NY
LPL ENTERPRISE, LLC · NEW HARTFORD, NY
COMMONWEALTH FINANCIAL NETWORK · New Hartford, NY

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