MD
Michael A. Dempsey
ROBERT W. BAIRD & CO.
Ft Wright, KY 41011
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CRD#: 1266142
MD
Professional summary
Michael Aspery Dempsey, who also goes by Michael A Dempsey, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Ft Wright, Kentucky.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael A Dempsey
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: Mt Washington Apartments; Not Investment-Related; Address: 3116 W. Montgomery Rd. Suite C 179, Maineville OH 45039; Nature: Rental Property; Role: Owner (1/2 owner); Start Date: 1/1/2017; Appx hrs/month: 1 hour / week; Hrs during trading: 0; Duties: Buy real estate; Have equal voting rights with other members and we all share in investment /costs Name/Address: Wolff Property Management, LLC Mt Washington Ohio 45230 Start Date: 1/1/17 Hours Spent: 1-5 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Owner/Member Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Michael Aspery Dempsey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Aspery Dempsey'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
May 18, 2007 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 809 Wrights Summit Parkway, Suite 310, Ft Wright, KY 41011RIA
BD
CRD#: 8158
Ft Wright, KY
Current
May 18, 2007 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 809 Wrights Summit Parkway, Suite 310, Ft Wright, KY 41011RIA
BD
CRD#: 8158
Ft Wright, KY
Past
April 2, 2007 - May 22, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
EDGEWOOD, KY
Past
April 2, 2007 - May 22, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
EDGEWOOD, KY
Past
November 28, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
EDGEWOOD, KY
Past
November 28, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
EDGEWOOD, KY
Past
December 6, 2002 - December 8, 2003
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
CRESTVIEW HILLS, KY
Past
August 12, 1996 - December 8, 2003
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
April 25, 1994 - August 19, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 1, 1992 - April 26, 1994
LUMENT SECURITIES, LLC
BD
CRD#: 14840
COLUMBUS, OH
Past
July 17, 1991 - August 11, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(4/30/2025)
RR
Alaska(1/18/2024)
RR
Arizona(5/23/2018)
RR
Arkansas(8/6/2025)
RR
California(5/18/2007)
RR
Colorado(2/1/2021)
RR
Connecticut(4/19/2024)
RR
Florida(5/18/2007)
IAR
Florida(6/6/2018)
RR
Georgia(5/18/2007)
RR
Hawaii(8/13/2012)
RR
Illinois(5/18/2007)
RR
Indiana(5/18/2007)
IAR
Indiana(9/12/2008)
RR
Iowa(9/30/2025)
RR
Kansas(12/5/2014)
RR
Kentucky(5/18/2007)
IAR
Kentucky(5/18/2007)
RR
Maryland(5/28/2019)
RR
Michigan(5/18/2007)
RR
Montana(2/1/2021)
RR
New Hampshire(5/18/2007)
RR
New Jersey(4/30/2019)
RR
New York(5/5/2009)
RR
North Carolina(5/5/2009)
RR
Ohio(5/18/2007)
IAR
Ohio(5/22/2007)
RR
Oregon(5/12/2020)
RR
Pennsylvania(1/18/2024)
RR
South Carolina(2/3/2020)
RR
South Dakota(3/14/2023)
RR
Tennessee(5/18/2007)
IAR
Texas(3/13/2017)
RR
Texas(3/29/2022)
RR
Virginia(5/18/2007)
RR
Washington(5/18/2007)
RR
Wisconsin(4/25/2018)
RR
Wyoming(9/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/18/1992
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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158Ft Wright, KY 41011TRUST BUT VERIFY
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