JL
Jonathan H. Lee
ROBERT W. BAIRD & CO.
Grass Valley, CA 95945
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CRD#: 1792041
JL
Professional summary
Jonathan Henry Lee, who also goes by Jon Lee, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Grass Valley, California.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Jonathan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon Lee
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 AND ADDRESS: REAL ESTATE PARTNERSHIP NATURE OF ENTITY: COMMERCIAL PROPERTY ROLE IN OUTSIDE BUSINESS: PARTNERSHIP INTEREST NAME AND ADDRESS: MEYERS/LEE 519 E. MAIN STREET GRASS VALLEY, CA 95945 NATURE OF ENTITY: COMMERCIAL REAL ESTATE LOT RESPONSIBILITIES IN THIS ROLE: COLLECT RENT & SUPERVISE PROPERTY HOURS DEVOTED: 1/2 AN HOUR A MONTH. NONE DURING SECURITIES TRADING HOURS. Name: LEE & DUNN real estate investment; Investment-related; Address: 11534 Ridge Estates Rd, Nevada City, CA 95959 and 11723 Marjon Dr Nevada City CA 95959; Nature: Rental Properties; Role: Partner; Start Date: 5/10/18; Appx hrs: as little as possible; Hrs during trading: 0; Duties: we are landlords Name/Address: Lot 10 Partners 380 Sierra College Grass Valley CA 95945 Lot 9 Partners 360 Sierra College Drive Grass Valley CA 95945 Start Date: 8/4/24 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: LLC Owner/Member Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Henry Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Henry Lee'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
March 23, 2009 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 360 Sierra College Drive Suite 200, Grass Valley, CA 95945RIA
BD
CRD#: 8158
Grass Valley, CA
Current
March 23, 2009 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 360 Sierra College Drive Suite 200, Grass Valley, CA 95945RIA
BD
CRD#: 8158
Grass Valley, CA
Past
March 28, 2000 - March 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GRASS VALLEY, CA
Past
April 6, 1998 - March 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GRASS VALLEY, CA
Past
December 10, 1992 - April 9, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 20, 1988 - December 24, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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(6/21/2021)
RR
Alaska(6/2/2022)
RR
Arizona(2/6/2014)
RR
Arkansas(3/23/2009)
RR
California(3/23/2009)
IAR
California(3/23/2009)
RR
Colorado(3/23/2009)
RR
Connecticut(3/23/2009)
RR
Florida(3/23/2009)
IAR
Florida(8/15/2018)
RR
Georgia(3/23/2009)
RR
Hawaii(4/2/2009)
RR
Idaho(10/9/2018)
RR
Illinois(3/23/2009)
RR
Indiana(3/2/2021)
RR
Iowa(10/9/2018)
RR
Kansas(11/23/2021)
RR
Louisiana(5/19/2025)
RR
Maryland(1/8/2018)
RR
Massachusetts(8/21/2023)
RR
Michigan(7/25/2017)
RR
Minnesota(6/27/2018)
RR
Mississippi(11/2/2022)
RR
Missouri(1/3/2022)
RR
Montana(3/23/2009)
RR
Nevada(3/23/2009)
RR
New Hampshire(5/2/2025)
RR
New Jersey(11/10/2022)
RR
New Mexico(10/15/2018)
RR
New York(11/21/2014)
RR
North Carolina(10/29/2020)
RR
North Dakota(10/13/2025)
RR
Ohio(3/23/2009)
RR
Oklahoma(7/31/2025)
RR
Oregon(3/23/2009)
RR
Pennsylvania(10/11/2018)
RR
Rhode Island(9/5/2018)
RR
South Carolina(3/2/2021)
RR
Tennessee(2/26/2020)
RR
Texas(3/23/2009)
IAR
Texas(6/26/2017)
RR
Utah(8/26/2015)
RR
Vermont(2/6/2015)
RR
Virginia(3/23/2009)
RR
Washington(3/23/2009)
RR
Wisconsin(5/18/2018)
RR
Wyoming(3/23/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158Grass Valley, CA 95945TRUST BUT VERIFY
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