EG
Eric T. Gaston
ROBERT W. BAIRD & CO.
Chicago, IL 60606
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CRD#: 1647332
EG
Professional summary
Eric Theodore Gaston is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Chicago, Illinois.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Eric has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10 and Series 8 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Theodore Gaston's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Theodore Gaston'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
June 4, 2021 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 227 West Monroe Street, Chicago, IL 60606RIA
BD
CRD#: 8158
Chicago, IL
Current
May 24, 2021 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 227 West Monroe Street, Chicago, IL 60606RIA
BD
CRD#: 8158
Chicago, IL
Past
May 7, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
OAK BROOK, IL
Past
May 7, 2018 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
OAK BROOK, IL
Past
May 7, 2018 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
OAK BROOK, IL
Past
May 18, 2010 - July 12, 2017
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
GRAND BLANC, MI
Past
September 10, 2004 - July 12, 2017
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GRAND BLANC, MI
Past
March 7, 1991 - August 26, 2004
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
NOVI, MI
Past
October 18, 1989 - August 26, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
August 18, 1987 - October 14, 1989
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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
Illinois(6/4/2021)
IAR
Illinois(6/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/28/1991
General Securities Sales Supervisor Examination (Options Module & General Module)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.
