BG
Barry S. Greenberg
ROBERT W. BAIRD & CO.
Dallas, TX 75225
Some features on this profile are disabled
CRD#: 1591671
BG
Professional summary
Barry Scott Greenberg, CFP® is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Dallas, Texas.
Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Barry has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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: Independent contracting as Yoga Instructor; Not investment-related; Address: 16810 Deer Park Dr, Dallas, TX 75248; Nature: Self Employed Yoga Instructor; Role: Yoga instructor; Start Date: 11/2017; Appx hrs: 2-3 hours a week; Hrs during trading: None; Duties: teaching yoga in group setting, possibly one-on-one training.
Name and Address: Greenie LLC 16810 Deer Park Dr Dallas TX 75248
Start Date: 12/15/20 Hours Spent: 0-2 hours/month
Hours Spent during trading hours: Zero
Role/Responsibility: LLC Member/Manager for purpose of real estate purchase
Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Barry Scott Greenberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barry Scott Greenberg'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®
CFP®
Start date: 1990
Experience
Current
July 22, 2004 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 8333 Douglas Ave Ste 1000, Dallas, TX 75225RIA
BD
CRD#: 8158
Dallas, TX
Current
July 19, 2004 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 8333 Douglas Ave Ste 1000, Dallas, TX 75225RIA
BD
CRD#: 8158
Dallas, TX
Past
June 4, 2003 - October 16, 2003
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
March 9, 2002 - September 25, 2002
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
September 11, 2000 - March 9, 2002
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
August 14, 2000 - September 12, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 9, 1998 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
May 11, 1998 - June 12, 1998
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
October 16, 1995 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
June 5, 1992 - November 3, 1995
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
January 18, 1990 - June 18, 1992
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
March 2, 1988 - March 5, 1990
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
January 21, 1987 - June 4, 1987
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
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
Arizona(1/4/2007)
RR
California(7/19/2004)
RR
Colorado(1/22/2025)
RR
Florida(7/18/2006)
IAR
Florida(9/17/2018)
RR
Georgia(11/22/2005)
RR
Hawaii(8/2/2016)
RR
Idaho(1/23/2024)
RR
Illinois(3/21/2005)
RR
Iowa(5/27/2015)
RR
Kansas(5/2/2017)
RR
Kentucky(5/27/2015)
RR
Maryland(5/27/2015)
RR
Michigan(9/16/2009)
RR
Minnesota(12/23/2024)
RR
Missouri(10/30/2014)
RR
Nevada(1/4/2008)
RR
New Mexico(2/23/2009)
RR
New York(7/20/2009)
RR
North Carolina(12/18/2024)
RR
Oklahoma(4/11/2006)
RR
Pennsylvania(1/6/2015)
RR
South Carolina(11/13/2007)
RR
Tennessee(3/13/2024)
RR
Texas(7/19/2004)
IAR
Texas(7/22/2004)
RR
Vermont(3/2/2021)
RR
Virginia(3/30/2009)
RR
Washington(10/23/2007)
RR
Wisconsin(7/8/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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#: 8158Dallas, TX 75225TRUST BUT VERIFY
Monitor Barry Greenberg
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
