AH
Alfred J. Hassinger
ROBERT W. BAIRD & CO.
Birmingham, MI 48009
Some features on this profile are disabled
CRD#: 1632409
AH
Professional summary
Alfred John Hassinger III, who also goes by Alfred J Hassinger, Alfred John Hassinger, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Birmingham, Michigan.
Alfred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Alfred has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alfred J Hassinger | Alfred John Hassinger
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: Davison St LLC; Not investment-related; Address: 18 Davison St, Oxford, MI 48371; Nature: LLC / Rental Property; Role: Member of LLC; Start Date: 2011; Appx hrs: 1 hr a month; Hrs during trading: 0; Role: Bookkeeping Name: Axford St LLC; Not investment-related; Address: 30-34 N Axford St, Lake Orion, MI 48362; Nature: LLC / Rental Property; Role: Member of LLC; Start Date: 2009; Appx hrs: 1 hr a month; Hrs during trading: 0; Role: Bookkeeping
CRS (Client Relationship Summary) - RIA
Click below to view Alfred John Hassinger III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alfred John Hassinger III'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
November 18, 2013 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 300 Park St Ste 240, Birmingham, MI 48009RIA
BD
CRD#: 8158
Birmingham, MI
Current
August 20, 2013 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 300 Park St Ste 240, Birmingham, MI 48009RIA
BD
CRD#: 8158
Birmingham, MI
Past
June 5, 2013 - July 1, 2013
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
BINGHAM FARMS, MI
Past
February 13, 2008 - December 31, 2010
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
BIRMINGHAM, MI
Past
October 16, 1997 - December 14, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
NEW YORK, NY
Past
January 29, 1997 - September 20, 1997
NATIXIS SECURITIES AMERICAS LLC
BD
CRD#: 1101
NEW YORK, NY
Past
March 22, 1996 - December 11, 1996
RODMAN & RENSHAW INC.
BD
CRD#: 724
CHICAGO, IL
Past
March 26, 1993 - March 22, 1996
ABACO INTERNATIONAL CORPORATION
BD
CRD#: 27354
NEW YORK, NY
Past
April 20, 1992 - April 6, 1993
DUNLEVY & CO., INCORPORATED
BD
CRD#: 7696
NEW YORK, NY
Past
January 5, 1989 - March 4, 1992
ORD MINNETT INC.
BD
CRD#: 10403
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.
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(1/31/2018)
RR
Alaska(1/19/2018)
RR
Arizona(1/24/2018)
RR
Arkansas(12/17/2018)
RR
California(1/18/2018)
RR
Colorado(9/23/2014)
RR
District of Columbia(1/15/2025)
RR
Florida(1/19/2018)
IAR
Florida(1/19/2018)
RR
Georgia(4/10/2018)
RR
Idaho(6/6/2023)
RR
Illinois(3/26/2018)
RR
Indiana(1/18/2018)
RR
Kansas(12/13/2024)
RR
Kentucky(12/2/2019)
RR
Michigan(11/18/2013)
IAR
Michigan(11/18/2013)
RR
Minnesota(3/3/2020)
RR
Missouri(5/13/2019)
RR
Nevada(7/13/2020)
RR
New Hampshire(11/9/2018)
RR
New Jersey(3/24/2014)
RR
New York(5/5/2023)
RR
North Carolina(5/23/2019)
RR
Ohio(1/18/2018)
RR
Oklahoma(1/23/2018)
RR
Pennsylvania(1/16/2014)
RR
Rhode Island(11/30/2021)
RR
South Carolina(1/19/2018)
RR
Tennessee(1/19/2018)
IAR
Texas(1/18/2018)
RR
Texas(1/24/2018)
RR
Virginia(3/14/2018)
RR
Washington(2/28/2020)
RR
Wisconsin(1/19/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/1/2007
Limited Representative-Equity Trader ExamGeneral 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.
