Katherine L. Baird

K.L. BAIRD ASSET MANAGEMENT

KIRKLAND, WA 98275

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CRD#: 1071122

Professional summary

Katherine Louise Baird is a registered financial advisor currently at K.L. BAIRD ASSET MANAGEMENT located in Kirkland, Washington.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Katherine has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 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.

K.L. BAIRD ASSET MANAGEMENT - SOLE PROPRIETOR OUTSIDE RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Louise Baird'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®

None

Experience

Current

September 20, 1985 - Present

K.L. BAIRD ASSET MANAGEMENT

Office #1: 10604 Ne 38th Place Suite 226, Kirkland, WA 98275

RIA

CRD#: 117135

KIRKLAND, WA

Past

December 14, 1990 - December 8, 2016

CETERA WEALTH SERVICES, LLC

CRD#: 13572

OAK HARBOR, WA

Past

August 25, 1989 - January 25, 1991

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

May 29, 1985 - August 25, 1989

PFG SECURITIES, INC.

CRD#: 15401

Past

December 10, 1982 - June 10, 1985

SENTRA SECURITIES CORPORATION

CRD#: 10249

Past

October 20, 1982 - November 26, 1982

STRUCTURED SHELTERS SECURITIES, INC.

CRD#: 10307

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.

Highlighted states indicate IAR registrations

IAR

Idaho
(3/20/2002)

IAR

Washington
(9/20/1985)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/25/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/19/1983

General Securities Principal Examination

Current Firm

K.L. BAIRD ASSET MANAGEMENT

BAIRD, KATHERINE L. | K.L. BAIRD ASSET MANAGEMENT

CRD#: 117135 / SEC#:

Idaho

Registered Investment Advisory firm - (3/20/2002 Approved)

Washington

Registered Investment Advisory firm - (9/20/1985 Approved)

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Contact information

Main Address

Oak Harbor, WA

Mailing Address

Phone number

(360) 682-5885

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 13,705,339

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Katherine L. Baird

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Louise Baird's CRS (Customer Relationship Summary).

Certified licenses

Experience

K.L. BAIRD ASSET MANAGEMENT

CETERA WEALTH SERVICES, LLC

FIRST AFFILIATED SECURITIES

PFG SECURITIES, INC.

SENTRA SECURITIES CORPORATION

STRUCTURED SHELTERS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/25/1982

SIE

Date: 12/8/2016

Series 7

Date: 10/16/1982

Series 24

Date: 12/19/1983

Current Firm

K.L. BAIRD ASSET MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

K.L. BAIRD ASSET MANAGEMENT

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