Malcolm H. Liles
ROBERT W. BAIRD & CO. | Managing Director
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 1023682
Professional summary
Malcolm Henry Liles is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Nashville, Tennessee.
Malcolm is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Malcolm has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 5, Series 7, Series 10, Series 9 and Series 8 exams.
Biography
For over 35 years, Malcolm's multi-generational practice has partnered with a select number of clients in Nashville and across the country to address their comprehensive financial planning and investment advisory goals. They have maintained many of these relationships over decades, across generations, and through many market cycles. Clients The Liles Group counsels include:
High-net-worth and ultra-high-net-worth individuals & families
Corporate executives and directors
Entrepreneurs
Entertainers & athletes
ERISA retirement plans and non-qualified retirement plans
Foundations, endowments and quasi-endowments
Family offices and businesses
In Baird, The Liles Group has a partner that shares their passion for serving their clients and their commitment to providing great outcomes. In addition to the valuable insights from within Baird, their robust open-architecture platforms also give The Liles Group access to the ideas and capabilities of many of the world’s top external financial institutions.
The Liles Group is accepting new clients, and in order to continue utilizing the team’s resources most effectively, they are only able to develop new relationships with families and institutions needing assistance with aggregate investable assets of $2 million or more, or whose income is over $200,000 (filing single/separately) or $300,000 (filing jointly). On a case by case basis, they occasionally may be able to assist clients who do not meet either of these criteria.
The Liles Group's practice is built on the relationships they form with their clients and the mutual trust we place in one another. Many of their client partnerships span 25 years or more and encompass two, three or even four generations of families. In fact, the multi-generational structure of The Liles Group helps give their clients confidence that their assets and their legacy will be smoothly and efficiently transferred from one generation to the next. Rather than assigning each member of the team to specific accounts, The Liles Group works collectively with each of its clients, which enables each member of the team to be closely involved in every client’s unique situation.
The Liles Group works closely with their clients’ other advisors such as their CPAs and attorneys to ensure that their financial picture is being evaluated holistically. They emphasize liquidity and diversification and they focus on maximizing long-term wealth rather than short-term profit. They also strive for transparency in all that they do.
Question & Answer
What are your service offerings?
Institutional consulting
Financial planning
Trust & estate planning
Insurance
Philanthropic services
Trading individual securities
Loans/credit services
Executive services/Equity comp...
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
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 & ADDRESS: Aloan by the sea 1001, E Gulf Beach Dr Saint George Island Florida 32328 NATURE OF ENTITY: Vacation Rental House RESPONSIBILITIES IN ROLE: Managing house rental HOURS DEVOTED: 2 hours a month except when we go to Florida two weekends a year for a working vacation (mostly working). Name and address: Arthur & Sylvia Lee Educational Foundation, 9679 Aurora Ct Brentwood, TN 37027 Nature of Entity: Educational Foundation providing scholarships to children and employees of United Cities Gas Company, which is now a subsidiary of Atmos Company. Responsibilities in this role: Member of the Board of Trust. Review scholarship grants, review investments, strategic planning, other business. Hours devoted: 6 to 8 hours per year. Name and Address: Enepfuhl Partners, 305 Old Highway 48 Charlotte, TN 37036 Nature of Entity: Farm & hunting land Responsibilities in this role: Owner Hours devoted: 8 hrs/month Name/Address: Rockbridge Holdings Corporation, 115 Liberty Hall Rd. Lexington VA 24450 Start date: 1/1/20 Hours spent: 0-1 hour/month Hours spent during trading hours: 1 hour/month Role/Responsibility: Board Member; Investment Finance Committee Investment related Name/Address: First Presbyterian Church, 4815 Franklin Rd, Nashville, TN 37220 Start Date: 10/1/23 Hours Spent: 0-3 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Chair Investment Committee Investment Related Name/Address: Battle of Nashville Trust, 222 2nd Avenue North, Nashville TN 37210 Start date: 10/25/2023 Hours spent: 1 - 5/month Hours spent during trading Hours: 0 Role/Responsibility: Board Member, operational oversight Investment Related Name/Address: Kappa Alpha Order, 115 Liberty Hall Rd Lexington VA 24450 Start date: 1/1/2020 Hours spent: 1 - 5/month Hours spent during trading Hours: 0 Role/Responsibility: Review performance of 3rd party managers, fraternal club member Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Malcolm Henry Liles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Malcolm Henry Liles'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®
NoneEducation
General Business
Experience
Current
May 10, 2013 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1600 West End Ave, Suite 1100, Nashville, TN 37203RIA
BD
CRD#: 8158
Nashville, TN
Current
May 10, 2013 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1600 West End Ave, Suite 1100, Nashville, TN 37203RIA
BD
CRD#: 8158
Nashville, TN
Past
June 1, 2009 - June 7, 2013
MORGAN STANLEY
RIA
CRD#: 149777
NASHVILLE, TN
Past
June 1, 2009 - June 7, 2013
MORGAN STANLEY
BD
CRD#: 149777
NASHVILLE, TN
Past
April 27, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NASHVILLE, TN
Past
January 2, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NASHVILLE, TN
Past
January 25, 1982 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
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
Alabama(5/10/2013)
RR
California(5/10/2013)
RR
Colorado(9/21/2015)
RR
Connecticut(3/15/2022)
RR
District of Columbia(5/10/2013)
RR
Florida(5/10/2013)
IAR
Florida(11/17/2014)
RR
Georgia(5/10/2013)
RR
Idaho(11/22/2023)
RR
Illinois(5/10/2013)
RR
Iowa(5/10/2013)
RR
Kentucky(5/10/2013)
RR
Louisiana(5/10/2013)
RR
Massachusetts(8/2/2021)
RR
Minnesota(4/20/2018)
RR
Mississippi(5/10/2013)
RR
Missouri(7/31/2025)
RR
Montana(3/1/2021)
RR
New York(5/10/2013)
RR
North Carolina(5/10/2013)
RR
Ohio(5/15/2014)
RR
Oklahoma(12/12/2016)
RR
Oregon(5/31/2013)
RR
Pennsylvania(10/27/2016)
RR
South Carolina(5/10/2013)
RR
Tennessee(5/10/2013)
IAR
Tennessee(5/10/2013)
RR
Texas(5/10/2013)
IAR
Texas(5/10/2013)
RR
Utah(10/27/2021)
RR
Virginia(5/10/2013)
RR
Washington(5/10/2013)
RR
West Virginia(5/10/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 5/12/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/20/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
Managing DirectorCRD#: 8158Nashville, TN 37203TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
