JB
John R. Bickel
ROBERT W. BAIRD & CO.
Golden, CO
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CRD#: 1229797
JB
Professional summary
John Richard Bickel, CPWA® is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Golden, Colorado.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. John has worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 31 and Series 7 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 AND ADDRESS OF OTHER BUSINESS: PREWITT WATERFOWLERS, 15488 COUNTY ROAD 57, HILLROSE, CO 80733
NATURE OF ENTITY: HUNTING AND FISHING CLUB
ROLE IN OUTSIDE BUSINESS: OWNER
RESPONSIBILITIES IN THIS ROLE: RECRUIT MEMBERS TO THE CLUB, MAKE CERTAIN RULES ARE OBEYED AND DUES ARE PAID.
HOURS DEVOTED TO OTHER BUSINESS: ONE HOUR PER WEEK. NONE DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view John Richard Bickel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Richard Bickel'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®
CPWA®
Start date: 2012-10-05
Expire date: 2024-09-30
Experience
Current
November 3, 2010 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #2: 210 University Boulevard Ste 800, Denver, CO 80206RIA
BD
CRD#: 8158
Golden, CO
Current
September 17, 2010 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 210 University Boulevard Ste 800, Denver, CO 80206RIA
BD
CRD#: 8158
Denver, CO
Past
March 17, 2009 - September 17, 2010
KCCI, LTD.
BD
CRD#: 34528
JERSEY CITY, NJ
Past
August 5, 2005 - July 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GREENWOOD VILLAGE, CO
Past
July 7, 2005 - July 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GREENWOOD VILLAGE, CO
Past
July 9, 1999 - July 19, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 11, 1998 - November 25, 1998
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 2, 1996 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
May 9, 1995 - July 11, 1996
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
May 28, 1991 - September 29, 1993
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 18, 1989 - May 29, 1991
FIRST ANALYSIS SECURITIES CORPORATION
BD
CRD#: 10446
CHICAGO, IL
Past
December 5, 1988 - May 20, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
August 21, 1987 - December 7, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
December 5, 1984 - August 29, 1987
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
January 25, 1984 - October 22, 1984
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
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(5/24/2018)
RR
Arizona(9/17/2010)
RR
Arkansas(7/30/2015)
RR
California(9/17/2010)
RR
Colorado(9/17/2010)
IAR
Colorado(11/3/2010)
RR
Connecticut(10/1/2019)
RR
Delaware(3/28/2017)
RR
Florida(9/30/2010)
IAR
Florida(1/5/2018)
RR
Illinois(9/17/2010)
RR
Indiana(5/4/2017)
RR
Kansas(9/22/2010)
RR
Massachusetts(9/22/2010)
RR
Michigan(10/11/2010)
RR
Minnesota(9/27/2018)
RR
Missouri(9/24/2010)
RR
Montana(9/26/2018)
RR
Nebraska(3/24/2017)
RR
Nevada(9/23/2025)
RR
New Jersey(10/5/2010)
RR
New Mexico(10/5/2010)
RR
New York(3/27/2017)
RR
North Carolina(1/23/2017)
RR
Ohio(9/28/2010)
RR
Oklahoma(10/1/2018)
RR
Oregon(10/1/2010)
RR
South Carolina(3/27/2017)
RR
South Dakota(3/29/2017)
RR
Tennessee(2/3/2017)
RR
Texas(10/4/2010)
IAR
Texas(3/20/2017)
RR
Utah(9/20/2010)
RR
Virginia(9/17/2010)
RR
Washington(9/17/2010)
RR
Wisconsin(12/23/2021)
RR
Wyoming(9/20/2010)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
