SO
Stephen A. Oricoli
ROBERT W. BAIRD & CO.
Stamford, CT 06902
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CRD#: 1872164
SO
Professional summary
Stephen Anthony Oricoli is a registered financial professional currently at ROBERT W. BAIRD & CO. INCORPORATED located in Stamford, Connecticut.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1990. Stephen has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Stephen Anthony Oricoli'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
April 3, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 300 First Stamford Place Suite 404, Stamford, CT 06902RIA
BD
CRD#: 8158
Stamford, CT
Past
March 17, 2017 - February 27, 2018
HUNT FINANCIAL SECURITIES
BD
CRD#: 169919
Rye Brook, NY
Past
July 14, 2008 - January 13, 2017
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
May 17, 2004 - March 20, 2008
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
November 3, 2000 - September 19, 2002
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
October 14, 1997 - May 7, 2004
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
June 25, 1996 - September 30, 1997
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
NEW YORK, NY
Past
October 24, 1995 - June 24, 1996
SHAY FINANCIAL SERVICES CO.
BD
CRD#: 27215
IRVING, TX
Past
July 18, 1994 - August 14, 1995
SANWA UNIVERSAL SECURITIES CO., LLC
BD
CRD#: 8427
NEW YORK, NY
Past
July 18, 1994 - August 14, 1995
SANWA SECURITIES (USA) CO., L.P.
BD
CRD#: 19697
NEW YORK, NY
Past
August 21, 1991 - May 4, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 22, 1990 - March 6, 1991
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
April 26, 1990 - March 6, 1991
MORGAN STANLEY MARKET PRODUCTS INC.
BD
CRD#: 19794
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.
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(6/29/2020)
RR
Alaska(6/30/2020)
RR
Arizona(6/29/2020)
RR
Arkansas(6/30/2020)
RR
California(6/30/2020)
RR
Colorado(6/30/2020)
RR
Connecticut(4/3/2018)
RR
Delaware(6/30/2020)
RR
District of Columbia(7/1/2020)
RR
Florida(6/30/2020)
RR
Georgia(11/12/2020)
RR
Hawaii(6/30/2020)
RR
Idaho(7/1/2020)
RR
Illinois(7/16/2020)
RR
Indiana(7/10/2020)
RR
Iowa(7/2/2020)
RR
Kansas(7/7/2020)
RR
Kentucky(7/8/2020)
RR
Louisiana(6/30/2020)
RR
Maine(6/30/2020)
RR
Maryland(6/30/2020)
RR
Massachusetts(6/30/2020)
RR
Michigan(7/1/2020)
RR
Minnesota(6/30/2020)
RR
Mississippi(7/1/2020)
RR
Missouri(6/29/2020)
RR
Montana(6/29/2020)
RR
Nebraska(6/30/2020)
RR
Nevada(7/13/2020)
RR
New Hampshire(7/10/2020)
RR
New Mexico(6/30/2020)
RR
New York(6/30/2020)
RR
North Carolina(6/29/2020)
RR
North Dakota(7/6/2020)
RR
Ohio(6/29/2020)
RR
Oklahoma(7/21/2020)
RR
Oregon(6/29/2020)
RR
Pennsylvania(6/30/2020)
RR
Puerto Rico(7/2/2020)
RR
Rhode Island(6/30/2020)
RR
South Carolina(6/30/2020)
RR
South Dakota(7/6/2020)
RR
Tennessee(4/4/2018)
RR
Texas(6/29/2020)
RR
Vermont(6/29/2020)
RR
Virgin Islands(7/2/2020)
RR
Virginia(6/29/2020)
RR
Washington(6/29/2020)
RR
West Virginia(6/30/2020)
RR
Wisconsin(6/29/2020)
RR
Wyoming(6/30/2020)
Exams
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.
