SM
Susan J. Marshall
ROBERT W. BAIRD & CO.
Finleyville, PA
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CRD#: 1180541
SM
Professional summary
Susan Jane Marshall, who also goes by Sue Jane Haas, Susan J Haas, Susan Jane Haas, Sue Marshall, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Finleyville, Pennsylvania.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Susan has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sue Jane Haas | Susan J Haas | Susan Jane Haas | Sue Marshall
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.
SOUTHPOINTE CHAMBER, START DATE 07/01/2016, 125 TECHNOLOGY DRIVE, CANONSBURG, PA 15317, BOARD MEMBER,LEAD DISCUSSION GROUPS, ORGANIZA AND WORK EVENTS, NO DUTIES WITH ANY MONIES BEING COLLECTED, 1 HR/MO, 0 HRS/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Susan Jane Marshall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susan Jane Marshall'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
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #2: 121 Champion Way Suite 200, Pittsburgh - South Hills, PA 15317RIA
BD
CRD#: 8158
Finleyville, PA
Current
October 18, 2019 - 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
January 11, 2018 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
Washington, PA
Past
January 11, 2018 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
Washington, PA
Past
March 6, 2009 - January 22, 2018
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WASHINGTON, PA
Past
March 2, 2009 - January 22, 2018
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
WASHINGTON, PA
Past
September 13, 2007 - February 13, 2009
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
WASHINGTON, PA
Past
October 31, 2006 - February 13, 2009
FSC SECURITIES CORPORATION
BD
CRD#: 7461
WASHINGTON, PA
Past
January 1, 2004 - October 31, 2006
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
SOUTHPOINTE, PA
Past
January 1, 2004 - October 31, 2006
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
SOUTHPOINTE, PA
Past
June 11, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
CANNONSBURG, PA
Past
June 10, 1999 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
September 14, 1990 - July 7, 1997
MARSH & MCLENNAN SECURITIES CORPORATION
BD
CRD#: 556
NEW YORK, NY
Past
August 26, 1987 - October 8, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
February 18, 1986 - January 12, 1987
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
Past
October 3, 1984 - January 20, 1986
NPC SECURITIES, INC.
BD
CRD#: 10121
Past
August 23, 1983 - October 9, 1984
FINANCIAL ESTATE PLANNING, INC.
BD
CRD#: 287
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
California(10/18/2019)
RR
Colorado(6/23/2020)
RR
Florida(10/18/2019)
IAR
Florida(7/21/2022)
RR
Kentucky(11/8/2022)
RR
Nevada(1/31/2020)
RR
New Jersey(10/18/2019)
RR
New York(4/14/2021)
RR
North Carolina(4/9/2025)
RR
Ohio(10/18/2019)
RR
Pennsylvania(10/18/2019)
IAR
Pennsylvania(10/18/2019)
RR
South Carolina(8/13/2025)
RR
Tennessee(2/16/2022)
RR
Texas(10/18/2019)
IAR
Texas(9/4/2020)
RR
Wisconsin(11/6/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
