JC
John G. Collier
ROBERT W. BAIRD & CO.
Traverse City, MI 49684
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CRD#: 1363053
JC
Professional summary
John Gookins Collier JR is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Traverse City, Michigan.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6, Series 10 and Series 9 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: Airbnb rental; Not Investment-Related; Address: 7227 E. Horn Road, Lake Leelanau, MI 49653; Nature: Rental Property; Role: Owner; Start Date: 7/14/17; Appx hrs a month and during trading: None; Duties: None, renting home thru Airbnb
Name/Address: Collier Family Farms LLC PO Box 207 Traverse City MI 49685
Start date: 8/2019
Hours spent: 2 hours per year
Hours spent during trading Hours: Zero
Role/Responsibility: One third ownership of family farm
Not Investment related
CRS (Client Relationship Summary) - RIA
Click below to view John Gookins Collier JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Gookins Collier JR'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
August 2, 1999 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1001 Bay St, Traverse City, MI 49684RIA
BD
CRD#: 8158
Traverse City, MI
Current
December 19, 1997 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1001 Bay St, Traverse City, MI 49684RIA
BD
CRD#: 8158
Traverse City, MI
Past
September 15, 1989 - December 23, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
December 26, 1986 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
June 7, 1985 - November 19, 1986
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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(2/4/1999)
RR
Florida(12/19/1997)
IAR
Florida(8/21/2018)
RR
Georgia(12/19/1997)
RR
Illinois(12/19/1997)
RR
Indiana(12/19/1997)
IAR
Indiana(8/2/1999)
RR
Maryland(7/15/2019)
RR
Massachusetts(9/11/2019)
RR
Michigan(9/4/2001)
IAR
Michigan(5/21/2015)
RR
New York(1/25/2023)
RR
North Carolina(2/4/1999)
RR
Ohio(12/19/1997)
RR
South Carolina(10/16/2023)
RR
Texas(12/19/1997)
IAR
Texas(11/15/2017)
RR
Virginia(8/31/2007)
RR
Washington(3/27/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158Traverse City, MI 49684TRUST BUT VERIFY
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Contact information
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