JT
John G. Taft
ROBERT W. BAIRD & CO.
Sarasota, FL 34236
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CRD#: 1007933
JT
Professional summary
John Godfrey Taft is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Sarasota, Florida.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. John has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Name: Delaney Taft LLC; Not investment-related; Address; 2619 East Lake of the Isles Parkway, Minneapolis, MN 55408; Nature: LLC; Role: Owner; Start Date: 4/2017; Appx hrs: 5 hours/year; Hrs during trading: 5 hours/year; Duties: Delaney Taft is a single-member pass-through LLC originally created to receive Board fees, speaking fees and consulting fees received during a period when I was self employed. It will continue to receive any income received from outside business activities pre-approved by Baird. Name: Andy Warhol Foundation for the Visual Arts Investment-related Address: 65 Bleeker St, NY, NY 10012 Role: Investment Committee Member Start Date: 11/2015 Appx 1hr/month year; Hrs during trading: 0/year Duties: Investment Committee overseeing outside investment advisor. Oversight of management of the foundation's investment portfolio. Name/Address: The Minneapolis Foundation, Minneapolis MN 55402 Start date: 11/2016 Hours spent: 0-5 hours/month Hours spent during trading hours: 0-5 hours/month Role/Responsibility: Investment/Finance Committee / Chairman of the Board Investment related
CRS (Client Relationship Summary) - RIA
Click below to view John Godfrey Taft's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Godfrey Taft's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 29, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: One Sarasota Tower Two North Tamiami Trail Suite 1200, Sarasota, FL 34236Office #3: 777 East Wisconsin Ave, Milwaukee, WI 53202Office #4: 7650 Edinborough Way Suite 300, Edina, MN 55435RIA
BD
CRD#: 8158
Sarasota, FL
Current
January 29, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: One Sarasota Tower Two North Tamiami Trail Suite 1200, Sarasota, FL 34236Office #2: 777 East Wisconsin Ave, Milwaukee, WI 53202Office #3: 7650 Edinborough Way Suite 300, Edina, MN 55435RIA
BD
CRD#: 8158
Sarasota, FL
Past
March 6, 2007 - June 30, 2016
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNEAPOLIS, MN
Past
June 19, 2003 - March 30, 2006
TAMARACK DISTRIBUTORS INC.
BD
CRD#: 11181
MINNEAPOLIS, MN
Past
December 11, 2000 - June 30, 2016
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MINNEAPOLIS, MN
Past
September 30, 1997 - December 8, 2000
COLLIERS SECURITIES LLC
BD
CRD#: 7477
MINNEAPOLIS, MN
Past
May 2, 1997 - September 30, 1997
DOUGHERTY DAWKINS LLC
BD
CRD#: 7442
MINNEAPOLIS, MN
Past
July 29, 1991 - May 22, 1997
VOYAGEUR INVESTMENTS, INC.
BD
CRD#: 22544
Past
January 9, 1990 - July 19, 1991
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
October 5, 1981 - April 24, 1985
PIPER SANDLER & CO.
BD
CRD#: 665
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(1/29/2018)
RR
California(1/29/2018)
RR
Florida(7/26/2024)
RR
Illinois(1/29/2018)
RR
Minnesota(1/29/2018)
IAR
Minnesota(1/29/2018)
RR
Missouri(1/29/2018)
RR
New Hampshire(1/29/2018)
RR
New Jersey(2/2/2018)
RR
New Mexico(1/29/2018)
RR
Ohio(1/30/2018)
RR
Rhode Island(1/29/2018)
IAR
Texas(1/31/2018)
RR
Texas(2/2/2018)
RR
Wisconsin(1/29/2018)
IAR
Wisconsin(1/31/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
