Douglas C. Frigon

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CRD#: 1926430

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Douglas Carl Frigon was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1989. Douglas had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 14, 2011 - April 27, 2017

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

SAN FRANCISCO, CA

Past

August 24, 2004 - June 30, 2011

STONE & YOUNGBERG LLC

CRD#: 795

SAN FRANCISCO, CA

Past

January 22, 2001 - June 27, 2005

BRAVEHEART CAPITAL MANAGEMENT, LLC

RIA

CRD#: 118592

ENGLEWOOD, CO

Past

April 1, 1999 - November 18, 1999

SEATTLE-NORTHWEST SECURITIES CORPORATION

CRD#: 10639

SEATTLE, WA

Past

October 1, 1998 - April 19, 1999

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

March 17, 1995 - October 1, 1998

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

Past

May 26, 1993 - February 21, 1995

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 9, 1990 - May 5, 1993

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 23, 1989 - June 26, 1989

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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

CRD#: 8158 / SEC#: 801-7571, 8-497

RIA

Registered Investment Advisory firm - SEC (7/14/1971 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/7/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/1993

General Securities Principal Examination

Current Firm

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158 / SEC#: 801-7571, 8-497

RIA

Registered Investment Advisory firm - SEC (7/14/1971 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BAIRD PRIVATE ASSET MANAGEMENT - WRAP (3/21/2025)

BAIRD GENERATIONAL WEALTH GROUP - WRAP (3/21/2025)

BAIRD ADVISORS (3/21/2025)

BAIRD PRIVATE ASSET MANAGEMENT (3/21/2025)

BAIRD GENERATIONAL WEALTH GROUP (3/21/2025)

BAIRD INSTITUTIONAL EQUITY RESEARCH SERVICES (3/21/2025)

BAIRD EQUITY ASSET MANAGEMENT - CHAUTAUQUA CAPITAL MANAGEMENT (3/21/2025)

BAIRD FINANCIAL PLANNING SERVICES (3/21/2025)

BAIRD PRIVATE WEALTH MANAGEMENT (3/21/2025)

THE DDK GROUP - WRAP (3/21/2025)

THE DDK GROUP (3/21/2025)

BAIRD INSTITUTIONAL CONSULTING SERVICES (3/21/2025)

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	Cover Page	Report
11/15/2023	Cover Page	Report

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.

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Douglas C. Frigon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STONE & YOUNGBERG LLC

BRAVEHEART CAPITAL MANAGEMENT, LLC

SEATTLE-NORTHWEST SECURITIES CORPORATION

BANC OF AMERICA SECURITIES LLC

BANCAMERICA SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

ROBERT W. BAIRD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 9/7/2004

SIE

Date: 4/27/2017

Series 7

Date: 8/23/2004

Series 24

Date: 3/16/1993

Current Firm

ROBERT W. BAIRD & CO. INCORPORATED

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROBERT W. BAIRD & CO. INCORPORATED

TRUST BUT VERIFY

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