ROBERT W. BAIRD & CO. INCORPORATED of MILWAUKEE, WI is an SEC-registered investment adviser (CRD 8158). Regulatory assets under management: $394.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Performance, Commissions, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations, Investment cos, Other.
Showing 25 of 41 people.
| Name | Role | Location |
|---|---|---|
| Patrick Steven Lawton | DIRECTOR | — |
| Michael John Schroeder | DIRECTOR | — |
| Mary Ellen Stanek | DIRECTOR | — |
| Steven Gregory Booth | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | — |
| Paul Lee Schultz | GENERAL COUNSEL, SECRETARY | — |
| Terrance Patrick Maxwell | CHIEF FINANCIAL OFFICER, DIRECTOR; DIRECTOR | — |
| Laura K Thurow | CHIEF OPERATIONS OFFICER | — |
| Angela Marie Palmer | REGISTERED INVESTMENT ADVISOR CCO | — |
| Christa Lynn Graverson | CHIEF COMPLIANCE OFFICER | — |
| Erik Charles Dahlberg | DIRECTOR | — |
| Jon A Langenfeld | CHIEF FINANCIAL OFFICER | — |
| ZORE EDWARD JOHN | DIRECTOR | — |
| PURCELL PAUL EDWARD | CHAIRMAN, CEO, DIRECTOR; CHAIRMAN, DIRECTOR; CHAIRMAN, PRESIDENT, CEO, DIRECTOR (+2 more) | — |
| HACKMANN GLEN FREDRICK | GENERAL COUNSEL, SECRETARY; GENERAL COUNSEL, SECRETARY, MANAGING DIRECTOR | — |
| RUSH LEONARD MARION | CFO; MANAGING DIRECTOR & CFO | — |
| FREIBURGER JEFFRY FRANK | CCO; CHIEF COMPLIANCE OFFICER; COMPLIANCE DIRECTOR (+1 more) | — |
| SCHWEI RUSSELL PAUL | CHIEF OPERATIONS OFFICER; MANAGING DIRECTOR; OPERATIONS DIRECTOR | — |
| LAWTON PATRICK STEVEN | DIRECTOR; DIRECTOR OF FIXED INCOME CAPITAL MARKETS; MANAGING DIRECTOR | — |
| MAHLER WILLIAM WALTER | DIRECTOR; INSTITUTIONAL SALES DIRECTOR; MANAGING DIRECTOR | — |
| SCHROEDER MICHAEL JOHN | CEO - PRIVATE CLIENT GROUP; DIRECTOR; MANAGING DIRECTOR | — |
| STANEK MARY ELLEN | DIRECTOR; MANAGING DIRECTOR/DIRECTOR OF BAIRD ADVISORS | — |
| VENABLE ROBERT JOHN | DIRECTOR; DIRECTOR OF RESEARCH; MANAGING DIRECTOR | — |
| CARBONE PAUL JOHN | DIRECTOR; DIRECTOR BAIRD PRIVATE EQUITY; MANAGING DIRECTOR | — |
| NICHOL TODD STEVEN | CCO OF INVESTMENT ADVISOR | — |
| BOOTH STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR; DIRECTOR (+2 more) | — |
Showing 10 of 17 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-03-20 | regulatory | ROBERT W. BAIRD & CO. INCORPORATED ENGAGED IN ACTS AND PRACTICES IN VIOLATION OF THE ACT AND REGULATIONS BY NOT ENSURING THAT ITS INVESTMENT ADVISER REPRESENTATIVES, WHO HAD A PLACE OF BUSINESS IN MASSACHUSETTS, WERE PROPERLY REGISTERED WITH MASSACHUSETTS PRIOR TO PROVIDING INVESTMENT ADVISORY SERVI… | Final | $58K |
| 2025-03-06 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT, AS SUCCESSOR-IN-INTEREST TO HEFREN-TILLOTSON, VIOLATED REG BI'S COMPLIANCE OBLIGATION. THE FINDINGS STATED THAT HEFREN-TILLOTSON'S REGISTERED REPRESENTATIVES RECOMMENDED THAT CUSTOMER… | Final | $100K |
| 2023-11-07 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ITS SUPERVISORY SYSTEM DID NOT PROVIDE CERTAIN CUSTOMERS WITH MUTUAL FUND SALES CHARGE WAIVERS AND FEE REBATES TO WHICH THEY WERE ENTITLED THROUGH RIGHTS OF REINSTATEMENT OFFERED BY MUTUA… | Final | $520K |
| 2023-09-29 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST ROBERT W. BAIRD & CO. INCORPORATED ("RESPONDENT" OR "BAIRD"). RESPONDENT HAS SUBMITTED AN OFFER OF… | Final | $15.0M |
| 2022-08-31 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT USED A PUBLISHED COMMISSION SCHEDULE PURSUANT TO WHICH IT CHARGED COMMISSIONS ON LOW-PRINCIPAL TRANSACTIONS THAT WERE NOT FAIR AND REASONABLE. THE FINDINGS STATED THAT FOR ALL EQUITY T… | Final | $150K |
| 2020-12-15 | regulatory | ON JUNE 11, 2018, BAIRD RECEIVED ORDERS FROM A CUSTOMER TO BUY SECURITY 1. AFTER RECEIVING THE ORDERS, BAIRD ROUTED THEM, AS TWO SEPARATE PARENT ORDERS TO TWO DIFFERENT NYSE FLOOR BROKER FIRMS. BOTH RECIPIENT FLOOR BROKER FIRMS, AS EXECUTING BROKERS, BROKE UP THE PARENT ORDERS INTO CHILD ORDERS AND… | Final | $13K |
| 2019-06-07 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT PUBLISHED SEVEN RESEARCH REPORTS ABOUT AN ISSUER WITHOUT DISCLOSING THAT THE RESEARCH ANALYST WHO AUTHORED THE REPORTS WAS ENGAGED IN EMPLOYMENT DISCUSSIONS WITH THE ISSUER THAT CONSTI… | Final | $150K |
| 2019-03-11 | regulatory | IA RELEASE 40-5148, MARCH 11, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST ROBERT W. BAIRD & CO. INCORPORATED ("RESPONDENT"). ON THE BASIS OF THIS ORDER AND RESPONDENT'S… | Final | — |
| 2016-09-26 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT TRADED AHEAD OF CUSTOMER ORDERS AND ALSO EXECUTED CUSTOMER ORDERS OUTSIDE NORMAL MARKET HOURS, CONTRARY TO THE CUSTOMERS' INSTRUCTIONS. THE FINDINGS STATED THAT THE FIRM ALSO FAILED TO… | Final | $13K |
| 2016-09-08 | regulatory | SEC IA RELEASE 4526/SEPTEMBER 8, 2016: THE SECURITIES AND EXCHANGE COMMISSION (COMMISSION) DEEMS IT APPROPRIATE THAT CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940 (ADVISERS ACT), AGAINST ROBERT W. BAIRD & CO. INCORPORATE… | Final | $250K |
Hedge Fund: 1 · Other Private Fund: 2
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| CHAUTAUQUA INTERNATIONAL GROWTH EQUITY QP FUND LP | Hedge Fund | Delaware | 6 | $524.2M | $25.0M |
| CHAUTAUQUA GLOBAL GROWTH EQUITY QP FUND LP | Other Private Fund | Delaware | 2 | $1.9M | $25.0M |
| CHAUTAUQUA SERIES FUND, LLC (CHAUTAUQUA NEW WORLD GROWTH EQUITY SERIES) | Other Private Fund | Delaware | 2 | $1.7M | $25.0M |
Showing 15 of 26 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| CHICAGO | IL | 264 | 800-537-9854 |
| LOUISVILLE | KY | 122 | 800-395-5966 |
| WEXFORD | PA | 111 | 724-940-0990 |
| SEATTLE | WA | 83 | 888-567-6297 |
| DENVER | CO | 76 | 888-792-4479 |
| LOUISVILLE | KY | 75 | 502-588-8400 |
| WAUKESHA | WI | 57 | 800-711-6127 |
| LEXINGTON | KY | 54 | 859-255-9681 |
| NASHVILLE | TN | 47 | 888-454-5011 |
| EVANSVILLE | IN | 45 | 812-426-1481 |
| MADISON | WI | 43 | 800-888-4792 |
| TOWSON | MD | 43 | 888-792-9391 |
| ROSEVILLE | CA | 42 | 877-792-3667 |
| CLEVELAND | OH | 39 | 888-792-9821 |
| SCOTTSDALE | AZ | 39 | 877-792-7594 |