SF
Steven V. Fischetti
ROBERT W. BAIRD & CO.
Pittsburgh - South Hills, PA 15317
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CRD#: 1128048
SF
Professional summary
Steven Vincent Fischetti is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Pittsburgh - South Hills, Pennsylvania.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 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.
1.POWERLOOM CORPORATION; BOARD MEMBER; NO; GATEWAY CENTER STE 425 PITTSBURGH, PA 15222; SOFTWARE DEVELOPMENT; DIRECTOR; 0,0 Name/Address: George Benson Scholarship Fund 4305 Brownsville Rd Pittsburg PA 15236 Start Date: 11/1/09 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: Board President, check signing authority Non Investment Related Name/Address: Fischetti Development Corporation 122 East Club Dr Pittsburg PA 15236 Start Date: 1/1/2010 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member for rental property purchases Non Investment Related Name/Address: South Hills Country Club 4305 Brownsville Road Pittsburgh PA 15236 Start Date: 1/30/25 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member; Access to funds Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Steven Vincent Fischetti's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Vincent Fischetti'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
August 7, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 121 Champion Way Suite 200, Pittsburgh - South Hills, PA 15317Office #2: 300 Weyman Road, Suite 300, Pittsburgh, PA 15236RIA
BD
CRD#: 8158
Pittsburgh - South Hills, PA
Current
August 7, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 121 Champion Way Suite 200, Pittsburgh - South Hills, PA 15317RIA
BD
CRD#: 8158
Pittsburgh - South Hills, PA
Past
July 30, 2013 - August 11, 2020
MORGAN STANLEY
RIA
CRD#: 149777
UPPER ST. CLAIR, PA
Past
June 1, 2009 - August 11, 2020
MORGAN STANLEY
BD
CRD#: 149777
UPPER ST. CLAIR, PA
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
UPPER ST. CLAIR, PA
Past
June 30, 1993 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
PITTSBURGH, PA
Past
April 27, 1990 - June 17, 1993
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
February 15, 1984 - May 16, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 25, 1983 - March 14, 1984
NEW ENGLAND SECURITIES
BD
CRD#: 615
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(8/7/2020)
RR
Arizona(10/30/2020)
RR
Arkansas(8/7/2020)
RR
California(8/7/2020)
RR
Colorado(8/7/2020)
RR
Connecticut(8/7/2020)
RR
Delaware(8/7/2020)
RR
Florida(8/7/2020)
IAR
Florida(2/15/2024)
RR
Georgia(8/7/2020)
RR
Idaho(8/7/2020)
RR
Illinois(8/7/2020)
RR
Indiana(8/7/2020)
RR
Kansas(12/21/2021)
RR
Maine(8/7/2020)
RR
Maryland(10/27/2021)
RR
Massachusetts(8/7/2020)
RR
Michigan(8/7/2020)
RR
Minnesota(8/7/2020)
RR
Mississippi(8/7/2020)
RR
Nebraska(8/7/2020)
RR
Nevada(8/7/2020)
RR
New Hampshire(8/30/2021)
RR
New Jersey(8/7/2020)
RR
New Mexico(8/7/2020)
RR
New York(8/7/2020)
RR
North Carolina(8/7/2020)
RR
North Dakota(8/7/2020)
RR
Ohio(8/7/2020)
RR
Pennsylvania(8/7/2020)
IAR
Pennsylvania(8/7/2020)
RR
Puerto Rico(8/7/2020)
RR
Rhode Island(8/7/2020)
RR
South Carolina(8/7/2020)
RR
South Dakota(8/7/2020)
RR
Tennessee(4/18/2023)
RR
Texas(8/7/2020)
IAR
Texas(8/7/2020)
RR
Utah(8/7/2020)
RR
Vermont(8/7/2020)
RR
Virginia(8/7/2020)
RR
Washington(8/7/2020)
RR
West Virginia(8/7/2020)
RR
Wisconsin(8/7/2020)
RR
Wyoming(9/27/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/15/1993
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.
