Heather Hewson Rock
Professional Summary
Heather Hewson Rock, who also goes by Heather Treen Hewson, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Seattle, Washington. Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Heather has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 27,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Heather Hewson Rock, Heather Treen Hewson
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Disclosures on record.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Years of Experience
41 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Current Firm
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
Contact Information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391Mailing Address
P.o. Box 672, Milwaukee, WI 53201Phone Number
(414) 765-3500Established
Wisconsin since 12/29/1919Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
4,322SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US 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 |
| LANGENFELD, JON A | CHIEF FINANCIAL OFFICER | 4322120 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| 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
367,123AUM (Assets Under Management)
$394,068,801,480Disclosures
Regulatory Event
44Arbitration
31Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2025 | Cover Page | Report |
| 10/24/2024 | Cover Page | Report |
| 11/15/2023 | Cover Page | Report |
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
Primary Firm SEC Registration
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
State Registrations and Notice Filings
(1/14/2019)
(11/7/2014)
(8/23/2021)
(6/7/2017)
(12/13/2023)
(9/14/2026)
(2/1/2022)
(2/1/2022)
(7/19/2023)
(2/8/2022)
(2/1/2022)
(11/7/2014)
(11/20/2020)
(2/1/2022)
(2/1/2022)
(3/27/2023)
(2/14/2022)
(10/23/2020)
(10/31/2017)
(10/1/2021)
(2/4/2022)
(1/22/2026)
(2/1/2022)
(11/7/2014)
(11/7/2014)
(2/1/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1985About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Apr 1986About the Series 26 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - RIA
Click below to view Heather Hewson Rock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Heather Hewson Rock's CRS (Customer Relationship Summary).
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
MORGAN STANLEY
THE ENSEMBLE TEAM
LPL FINANCIAL LLC