Dale Duane Flick

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	2018-08-15
OR	RA	APPROVED	2014-11-07
TX	RA	APPROVED_RES	2014-11-07

FL RA
APPROVED

Since 2018-08-15
OR RA
APPROVED

Since 2014-11-07
TX RA
APPROVED_RES

Since 2014-11-07

Branch Locations

Portland, OR • United States

5400 Meadows Rd Ste 300, Lake Oswego, OR 97035 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Robert W. Baird & Co. Incorporated	Portland	OR	11/2014	Present

11/2014 → Present

Robert W. Baird & Co. Incorporated

Portland, OR

Previous Registrations

2012-01-20 → 2014-11-07

Mcadams Wright Ragen, Inc.

Portland, OR
2011-01-03 → 2012-01-24

Wells Fargo Clearing Services, Llc

Portland, OR

Vancouver, WA
2005-02-18 → 2011-01-03

Wells Fargo Investments, Llc

Portland, OR

Portland, OR

Portland, OR

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-17
S63	Uniform Securities Agent State Law Examination	1988-07-22

S65 Uniform Investment Adviser Law Examination

1999-12-17
S63 Uniform Securities Agent State Law Examination

1988-07-22

Designations

Certified Financial Planner

Other Names

Dale Duane Flick
Dale Duane Flick

View on SEC IAPD