John P. Phillips
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Pierson Phillips JR, who also goes by Jay P Phillips, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2022 - March 15, 2024
ROBERT W. BAIRD & CO. INCORPORATED
November 17, 2022 - March 15, 2024
ROBERT W. BAIRD & CO. INCORPORATED
January 2, 2014 - November 30, 2022
MOORS & CABOT, INC.
December 7, 2011 - December 31, 2013
MOORS & CABOT, INC.
November 23, 2011 - November 30, 2022
MOORS & CABOT, INC.
June 1, 2009 - December 8, 2011
MORGAN STANLEY
June 1, 2009 - December 8, 2011
MORGAN STANLEY
September 16, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 29, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 14, 2002 - September 11, 2008
RBC CAPITAL MARKETS, LLC
June 9, 1998 - September 11, 2008
RBC CAPITAL MARKETS, LLC
July 31, 1993 - June 3, 1998
CITIGROUP GLOBAL MARKETS INC.
June 2, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
June 21, 1989 - April 30, 1993
KIDDER, PEABODY & CO. INCORPORATED
December 2, 1988 - June 26, 1989
PLENGE, THOMAS & GUNNING SECURITIES, INC.
December 14, 1983 - November 26, 1988
RL KOTROZO, INC.
July 22, 1982 - January 17, 1984
PLENGE, THOMAS & GUNNING SECURITIES, INC.
Primary Firm SEC Registration
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
Contact information
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.
