Raymond M. Settle
ROBERT W. BAIRD & CO. | Financial Advisor
Owensboro, KY 42301
Some features on this profile are disabled
CRD#: 1492958
Professional summary
Raymond Mitchell Settle, who also goes by Mitch Settle, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Owensboro, Kentucky.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Raymond has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Financial planning
Institutional consulting
Insurance
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
150K
Are you a "fiduciary"?
Yes
Aliases
Mitch Settle
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.
2) LIN GATE HOSPITALITY, NOT INVESTMENT-RELATED, LIMITED PARTNER IN 5 HOTELS, 1401 SPRING BANK DR, OWENSBORO, KY 42303, I HAVE NO CONTROL,I GET A K1, NO HOURS REQUIRED includes Lexington Hamburg Hotel LP, Woodcrest New Albany LP, Riverfront Hotel Associates LP, Somerset Center Hotel LP, Paducah Riverfront Hotel LP. 8)TRUSTEE FOR CILDRENS GIFT TRUSTS. 9)Marshall Ventures, LLC, This is a small venture capital type of business. We are investors. People "pitch" us their ideas and we invest in some of those businesses, investor only, start date 01/03/2016, 101 E 2nd Street, Owensboro, KY 42303, 1 hr/mo 0 hr/mo trading 10) Greenwell Foundation, start date 01/04/2010, board member, review grant applications and help decide where $$ goes, managed through HLTC, 1 hr/mo, 0 hrs/mo trading. Name and Address: Village By the Sea HOA 1507 Ocean Dr Vero Beach FL 32963 Start Date: 5/2019 Hours Spent: 0-2 hours/month Hours Spent during trading hours: 0-2 hours/month Role/Responsibility: Co-President of Home Owner's Association with check signing authority Non Investment Related Name/Address: Rental Property Kentucky Club 1536 Ocean Dr Vero Beach FL 32963 Start Date: 10/1/20 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: Owner/Landlord Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Mitchell Settle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raymond Mitchell Settle'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
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1035 Frederica St Suite 100, Owensboro, KY 42301RIA
BD
CRD#: 8158
Owensboro, KY
Current
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1035 Frederica St Suite 100, Owensboro, KY 42301RIA
BD
CRD#: 8158
Owensboro, KY
Past
January 7, 2004 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
OWENSBORO, KY
Past
July 23, 1986 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
OWENSBORO, KY
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(10/18/2019)
RR
Alaska(11/2/2022)
RR
Arizona(10/18/2019)
RR
Arkansas(10/18/2019)
RR
California(10/18/2019)
RR
Colorado(10/18/2019)
RR
Florida(10/18/2019)
IAR
Florida(1/25/2022)
RR
Georgia(10/18/2019)
RR
Idaho(10/18/2019)
RR
Illinois(10/18/2019)
RR
Indiana(10/18/2019)
RR
Iowa(10/18/2019)
RR
Kentucky(10/18/2019)
IAR
Kentucky(10/18/2019)
RR
Louisiana(10/18/2019)
RR
Maryland(10/18/2019)
RR
Michigan(10/18/2019)
RR
Minnesota(10/18/2019)
RR
Mississippi(10/18/2019)
RR
Missouri(10/18/2019)
RR
Montana(10/18/2019)
RR
Nevada(10/18/2019)
RR
New Hampshire(6/30/2020)
RR
New Jersey(1/3/2024)
RR
New Mexico(2/1/2022)
RR
New York(10/18/2019)
RR
North Carolina(10/18/2019)
RR
North Dakota(9/13/2024)
RR
Ohio(10/18/2019)
RR
Oregon(10/18/2019)
RR
Pennsylvania(10/18/2019)
RR
South Carolina(10/18/2019)
RR
Tennessee(10/18/2019)
RR
Texas(10/18/2019)
IAR
Texas(10/18/2019)
RR
Virginia(10/18/2019)
RR
Washington(10/18/2019)
RR
Wisconsin(10/18/2019)
Exams
State Security Law Exam
State Security Law 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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
Financial AdvisorCRD#: 8158Owensboro, KY 42301TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
