JA
John C. Adams
ROBERT W. BAIRD & CO.
Cincinnati, OH 45209
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CRD#: 1283765
JA
Professional summary
John Christopher Adams is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Cincinnati, Ohio.
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 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 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.
NAME AND ADDRESS OF OTHER BUSINESS: PITTSBURGH SUBS., INC, P.O. BOX 141 MIAMIVILLE, OH 45147 RESPONSIBILITIES OF OTHER BUSINESS: I AM THE OWNER OF THIS BUSINESS. DATE ASSUMED RESPONSIBILITIES: 2007 HOURS DEVOTED TO OTHER BUSINESS: 2 HOURS PER WEEK, NONE DURING SECURITIES TRADING HOURS. NAME AND ADDRESS: ROSE FARM RENTALS LLC 6 ROSE LANE FARM LOVELAND, OH 45140 NATURE OF ENTITY: THE CORPORATION IS 100% OWNED BY MY WIFE.IT HOLD OUR RENTAL PROPERTIES. RESPONSIBILITIES IN THIS ROLE:N/A HOURS DEVOTED: 2 HOURS A WEEK. NONE DURING SECURITIES TRADING HOURS. Name/Address: Miamiville Trailyard LLC 368 Center St Miamiville OH 45147 Start date: 6/2020 Hours spent: 2-3 hours/month Hours spent during trading hours: 0-1 hour/month Role/Responsibility: LLC formed for restaurant, food/beverage company Non Investment related Name/Address: Trailside Properties LLC PO Box 30219 Cincinnati OH 45230 Start Date: 10/1/21 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: Owner/Landlord; Used for rental property Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view John Christopher Adams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Christopher Adams'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
December 6, 2002 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 3805 Edwards Rd Suite 610, Cincinnati, OH 45209RIA
BD
CRD#: 8158
Cincinnati, OH
Current
September 18, 1998 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 3805 Edwards Rd Suite 610, Cincinnati, OH 45209RIA
BD
CRD#: 8158
Cincinnati, OH
Past
February 3, 1986 - September 21, 1998
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
July 26, 1984 - February 11, 1986
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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(1/2/2018)
RR
Alaska(1/2/2018)
RR
Arizona(3/10/2006)
RR
Arkansas(7/27/2015)
RR
California(6/17/2003)
RR
Colorado(9/18/1998)
RR
Delaware(6/24/2020)
RR
Florida(9/18/1998)
IAR
Florida(4/18/2024)
RR
Georgia(1/25/2016)
RR
Illinois(11/20/2015)
RR
Indiana(9/18/1998)
RR
Kentucky(9/18/1998)
RR
Maine(6/24/2020)
RR
Maryland(10/4/2005)
RR
Massachusetts(9/18/1998)
RR
Michigan(12/9/2016)
RR
Minnesota(4/11/2006)
RR
Mississippi(6/11/2025)
RR
Missouri(11/17/2000)
RR
Montana(10/23/2020)
RR
Nebraska(2/22/2018)
RR
Nevada(11/17/2006)
RR
New Hampshire(11/9/2017)
RR
New Jersey(1/2/2008)
RR
New Mexico(4/7/2021)
RR
New York(11/14/2014)
RR
North Carolina(9/18/1998)
RR
Ohio(9/18/1998)
IAR
Ohio(2/24/2003)
RR
Oklahoma(6/24/2020)
RR
Oregon(12/8/2016)
RR
Pennsylvania(1/2/2018)
RR
Rhode Island(1/9/2025)
RR
South Carolina(7/27/2015)
RR
South Dakota(6/27/2017)
RR
Tennessee(9/20/2007)
RR
Texas(3/27/2012)
IAR
Texas(12/22/2017)
RR
Utah(6/24/2020)
RR
Virginia(9/17/2004)
RR
Washington(1/2/2018)
RR
West Virginia(8/17/2022)
RR
Wisconsin(12/19/2024)
RR
Wyoming(2/10/2025)
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: 12/9/1988
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#: 8158Cincinnati, OH 45209TRUST BUT VERIFY
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Contact information
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