Shannon M. Vitale
ROBERT W. BAIRD & CO. | Financial Advisor
Bowling Green - Park Plaza, KY 42101
Some features on this profile are disabled
CRD#: 1657378
Professional summary
Shannon Moore Vitale, who also goes by Shannon Moore Burden, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Bowling Green - Park Plaza, Kentucky.
Shannon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Shannon has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Institutional consulting
Trading individual securities
Trust & estate planning
Financial planning
Insurance
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
Are you a "fiduciary"?
Yes
Aliases
Shannon Moore Burden
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.
1)04/2010-TRUSTEE ON HUSBANDS TRUST ACCOUNT. Name/Address: Trustee for Close Friend, Bowling Green KY 42103 Start date: 1-/1/2019 Hours spent: 1-5/mo Hours spent during trading Hours: 0/mo Role/Responsibility: Trustee Investment Related Name/Address: WKU Foundation, 1906 College Heights Blvd Bowling Green, KY 42103 Start date: 7/1/2019 Hours spent: 2/mo Hours spent during trading Hours: 2/mo Role/Responsibility: Attend quarterly meetings, possibly serving on investment committee Investment Related Name/Address: The Women's Fund of South Central KY, 810 College Street Bowling Green KY Start date: 11/1/2014 Hours spent: 1-5/mo Hours spent during trading Hours: 0/mo Role/Responsibility: Investment/Finance Committee Board Member Investment Related Name/Address: Albany Bancorp Inc 200 S Washington Street Albany KY 42602 Start Date: 4/28/22 Hours Spent: 0-1 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member Non Investment Related Name/Address: Morgantown Bank and Trust/Deposit Bancorp, Inc 201 N Main Street Morgantown KY 42261 Start Date: 5/20/25 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Shannon Moore Vitale's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shannon Moore Vitale'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: 360 8th Avenue Suite 211, Bowling Green - Park Plaza, KY 42101Office #2: 2413 Ring Road Ste. 117, Elizabethtown, KY 42701RIA
BD
CRD#: 8158
Bowling Green - Park Plaza, KY
Current
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 360 8th Avenue Suite 211, Bowling Green - Park Plaza, KY 42101RIA
BD
CRD#: 8158
Bowling Green - Park Plaza, KY
Past
January 23, 2006 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
BOWLING GREEN, KY
Past
August 14, 2002 - December 31, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
BOWLING GREEN, KY
Past
August 20, 1990 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
BOWLING GREEN, 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
Arizona(10/18/2019)
RR
Arkansas(10/18/2019)
RR
California(10/18/2019)
RR
Colorado(10/18/2019)
RR
Connecticut(10/18/2019)
RR
District of Columbia(10/18/2019)
RR
Florida(10/18/2019)
IAR
Florida(3/1/2021)
RR
Georgia(10/18/2019)
RR
Hawaii(10/18/2019)
RR
Illinois(10/18/2019)
RR
Indiana(10/18/2019)
RR
Kansas(10/18/2019)
RR
Kentucky(10/18/2019)
IAR
Kentucky(10/18/2019)
RR
Louisiana(10/18/2019)
RR
Maine(10/6/2022)
RR
Maryland(10/18/2019)
RR
Massachusetts(10/18/2019)
RR
Michigan(10/18/2019)
RR
Minnesota(1/13/2022)
RR
Mississippi(10/18/2019)
RR
Missouri(10/18/2019)
RR
Montana(10/18/2019)
RR
Nebraska(3/2/2020)
RR
Nevada(10/18/2019)
RR
New Jersey(10/18/2019)
RR
New Mexico(10/18/2019)
RR
New York(10/18/2019)
RR
North Carolina(10/18/2019)
RR
Ohio(10/18/2019)
RR
Oklahoma(3/2/2020)
RR
Oregon(10/18/2019)
RR
Pennsylvania(10/18/2019)
RR
South Carolina(10/18/2019)
RR
South Dakota(10/18/2019)
RR
Tennessee(10/18/2019)
RR
Texas(10/18/2019)
IAR
Texas(10/18/2019)
RR
Utah(10/18/2019)
RR
Vermont(10/18/2019)
RR
Virginia(10/18/2019)
RR
Washington(3/2/2020)
RR
West Virginia(10/18/2019)
RR
Wisconsin(10/18/2019)
RR
Wyoming(10/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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#: 8158Bowling Green - Park Plaza, KY 42101TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
