TS
Terrel R. Smitka
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CRD#: 1123712
TS
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.
Terrel Richard Smitka, who also goes by Terry Smitka, was a registered financial professional .
Terrel is a previously registered financial professional and started their career in finance in 1983. Terrel had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Terry Smitka
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: TKDD PARTNERSHIP; Not investment-related; ADDRESS: 8602 N Donnelly Ave, Kansas City, MO 64157; NATURE OF BUSINESS: INVESTMENT IN ONE COMMERCIAL RENTAL UNIT; POSITION: TREASURER/ Partner; START DATE: 01/01/1995; Appx hrs:1 hour / month; Hrs during trading: 0; Duties: Collect rent and pay bills
Name: Czech & Slovak Club of Greater Kansas City; Not investment-related; Address: Sugar Creek, MO, 64050; Nature:Charitable; Role: Board Member/ Officer / Treasurer; Start Date: 01/01/02; Appx hrs: 2 hours/week; Hrs during trading: none; Duties: Treasurer of club. Help plan events.
Name: WDS Educational Foundation; Investment-related; Address; PO Box 16031, Shawnee, KS 66203; Nature: Non-profit; Role: Board Member; Start Date: 9/5/2005; Appx hrs: 1 - 2 hours / month; Hrs during trading: 0; Duties: Assist in administering the organization. I handle most secretarial/treasurer duties and help in fundraising.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
April 27, 2012 - May 10, 2024
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
KANSAS CITY, MO
Past
November 15, 2000 - May 10, 2024
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
KANSAS CITY, MO
Past
May 31, 1994 - November 15, 2000
GEORGE K. BAUM & COMPANY
BD
CRD#: 36354
KANSAS CITY, MO
Past
June 15, 1992 - May 31, 1994
GKB, INC.
BD
CRD#: 350
KANSAS CITY, MO
Past
September 23, 1987 - July 16, 1992
RODMAN & RENSHAW INC.
BD
CRD#: 724
CHICAGO, IL
Past
January 31, 1985 - October 15, 1987
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
Past
April 28, 1983 - February 4, 1985
LOWELL H. LISTROM & COMPANY INC.
BD
CRD#: 6336
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
