NZ
Nicholas M. Zerille
ROBERT W. BAIRD & CO.
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 1500961
NZ
Professional summary
Nicholas Michael Zerille JR, who also goes by Nicholas Michael Zerille, Nick Zerille, is a registered financial professional currently at ROBERT W. BAIRD & CO. INCORPORATED located in Milwaukee, Wisconsin.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1986. Nicholas has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas Michael Zerille | Nick Zerille
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Michael Zerille 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
April 2, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 777 East Wisconsin Ave, Milwaukee, WI 53202RIA
BD
CRD#: 8158
Milwaukee, WI
Past
June 18, 2013 - April 10, 2018
TD ARRANGED SERVICES LLC
BD
CRD#: 122529
NEW YORK, NY
Past
June 3, 2013 - April 10, 2018
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
May 29, 2013 - June 7, 2013
BRAVER STERN SECURITIES LLC
BD
CRD#: 29108
NEW YORK, NY
Past
July 16, 2008 - July 1, 2011
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
June 16, 2004 - July 16, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 12, 2003 - June 25, 2004
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
July 30, 1999 - February 19, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 30, 1998 - July 26, 1999
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
August 21, 1997 - August 5, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 17, 1996 - June 3, 1997
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
December 5, 1994 - April 9, 1996
WG TRADING COMPANY LIMITED PARTNERSHIP
BD
CRD#: 27308
GREENWICH, CT
Past
June 13, 1986 - March 1, 1993
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
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.
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(4/2/2018)
RR
Colorado(4/13/2018)
RR
Connecticut(4/2/2018)
RR
Florida(4/2/2018)
RR
Michigan(4/2/2018)
RR
Missouri(4/2/2018)
RR
New Jersey(4/2/2018)
RR
New York(4/2/2018)
RR
Ohio(4/2/2018)
RR
Pennsylvania(4/2/2018)
RR
Tennessee(4/13/2018)
RR
Texas(4/2/2018)
RR
Wisconsin(4/3/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/2/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 8158Milwaukee, WI 53202TRUST BUT VERIFY
Monitor Nicholas Zerille
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
