KR
Kurt A. Rivard
ROBERT W. BAIRD & CO.
GLEN ARBOR, MI
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CRD#: 1133211
KR
Professional summary
Kurt Allen Rivard is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Glen Arbor, Michigan.
Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Kurt has worked at 4 firms and has passed the Series 63, SIE, Series 16, Series 7, Series 10, Series 9, Series 8 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.
Name/Address: Crystal Mountain Resort / 12500 Crystal Mountain Dr, Thompsonville, MI 49683 Start date: Approx 11/15/19 Hours spent: Approx 4-8 hours per week Hours spent during trading Hours: 0 Role/Responsibility: Employee / Ski instructor as a member of the Professional Ski Instructors of America (PSI) Not investment related Name/Address: Rental Property Rivard Properties LLC 7658 S Glen Lake Road Glen Arbor MI 49636 Start date: 2/15/19 Hours spent: 0-1 hour/month Hours spent during trading hours: Zero Role/Responsibility: LLC Agent Non-Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Kurt Allen Rivard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kurt Allen Rivard'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
September 25, 2001 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #2: 1001 Bay St, Traverse City, MI 49684RIA
BD
CRD#: 8158
GLEN ARBOR, MI
Current
May 24, 1993 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1001 Bay St, Traverse City, MI 49684RIA
BD
CRD#: 8158
Traverse City, MI
Past
May 17, 1991 - May 14, 1993
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
MINNEAPOLIS, MN
Past
October 15, 1987 - June 18, 1991
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
September 20, 1986 - August 4, 1987
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
Past
October 26, 1984 - July 31, 1986
CRAIG-HALLUM, INC.
BD
CRD#: 1546
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
Arizona(10/15/2004)
RR
California(1/2/2003)
IAR
Colorado(9/28/2001)
RR
Colorado(10/15/2004)
RR
Florida(1/2/2003)
IAR
Florida(10/18/2004)
RR
Georgia(1/9/2004)
IAR
Illinois(9/25/2001)
RR
Illinois(9/18/2003)
IAR
Indiana(9/26/2001)
RR
Indiana(10/15/2004)
IAR
Kansas(9/25/2001)
RR
Kansas(10/15/2004)
RR
Kentucky(8/14/2014)
RR
Maryland(10/15/2004)
RR
Massachusetts(10/16/2023)
RR
Michigan(5/26/1993)
IAR
Michigan(4/21/2010)
RR
Minnesota(10/15/2004)
RR
Montana(12/13/2017)
RR
Nevada(12/4/2013)
RR
New Mexico(1/9/2004)
RR
New York(1/29/2025)
RR
North Carolina(1/9/2004)
RR
Ohio(12/10/2024)
RR
Pennsylvania(3/24/2008)
RR
South Carolina(8/29/2019)
IAR
Texas(3/31/2017)
RR
Virginia(12/21/2021)
RR
Washington(10/15/2004)
RR
Wisconsin(5/26/1993)
RR
Wyoming(9/7/2012)
Exams
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: 2/27/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
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.
