JS
James A. Schultz
ROBERT W. BAIRD & CO.
Palm Harbor, FL
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CRD#: 1027395
JS
Professional summary
James Allan Schultz is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Palm Harbor, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 10, Series 9, Series 4, Series 24 and Series 8 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/Address: Personally Owned Rental Property N79W14668 Appleton Ave Menomonee Falls WI 53051 and N79W14638 Appleton Ave Menomonee Falls WI 53051 Start date: 4/1/18 Hours spent: 1 hour/month, zero during trading hours Role/Responsibility: collect the rent and pay the bills. Minimal time and effort involved. Not investment related. Name/Address: Value Investment Partners RCP II LLC 4755 Shagbark Ct Brookfield WI 53005 Start Date: 11/30/12 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Passive Investor Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view James Allan Schultz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Allan Schultz'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
November 12, 2001 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #2: 777 East Wisconsin Ave, Milwaukee, WI 53202RIA
BD
CRD#: 8158
Palm Harbor, FL
Current
November 12, 2001 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 777 East Wisconsin Ave, Milwaukee, WI 53202RIA
BD
CRD#: 8158
Milwaukee, WI
Past
November 27, 1998 - November 16, 2001
CLEARY GULL INC.
BD
CRD#: 45309
MILWAUKEE, WI
Past
October 3, 1996 - November 27, 1998
CLEARY GULL REILAND & MCDEVITT INC.
BD
CRD#: 18716
MILWAUKEE, WI
Past
June 23, 1986 - September 12, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 25, 1982 - July 1, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(11/1/2012)
RR
Alaska(6/12/2006)
RR
Arizona(2/21/2002)
RR
California(11/12/2001)
RR
Colorado(11/12/2001)
RR
Connecticut(7/13/2015)
RR
Delaware(10/12/2021)
RR
District of Columbia(7/16/2004)
RR
Florida(11/12/2001)
IAR
Florida(3/18/2016)
RR
Georgia(2/21/2002)
RR
Hawaii(9/16/2011)
RR
Idaho(10/26/2016)
RR
Illinois(11/12/2001)
RR
Indiana(11/12/2001)
RR
Iowa(10/18/2018)
RR
Kansas(7/24/2024)
RR
Kentucky(4/18/2023)
RR
Louisiana(2/25/2002)
RR
Maine(7/13/2015)
RR
Maryland(2/21/2002)
RR
Massachusetts(12/6/2002)
RR
Michigan(1/5/2005)
RR
Minnesota(7/16/2004)
RR
Mississippi(10/27/2008)
RR
Missouri(5/23/2018)
RR
Montana(5/13/2019)
RR
Nevada(7/27/2020)
RR
New Hampshire(12/13/2002)
RR
New Jersey(11/12/2001)
RR
New Mexico(11/12/2001)
RR
New York(11/12/2001)
RR
North Carolina(11/12/2001)
RR
Ohio(11/12/2001)
RR
Oregon(8/14/2019)
RR
Pennsylvania(11/12/2001)
RR
South Carolina(11/12/2001)
RR
South Dakota(7/13/2015)
RR
Tennessee(3/8/2016)
RR
Texas(11/12/2001)
IAR
Texas(3/13/2017)
RR
Utah(10/7/2025)
RR
Vermont(4/1/2015)
RR
Virginia(2/4/2002)
RR
Washington(2/21/2002)
RR
Wisconsin(11/12/2001)
IAR
Wisconsin(11/12/2001)
RR
Wyoming(7/13/2015)
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: 1/26/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/7/1997
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.
