JG
James C. Galkowski
ROBERT W. BAIRD & CO.
Rochester, MN 55901
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CRD#: 1966846
JG
Professional summary
James Christopher Galkowski, CFP®, CIMA®, who also goes by Jim Galkowski, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Rochester, Minnesota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. James has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Galkowski
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.
PRAIRIE RESTORATION; NOT INVESTMENT RELATED; PRESTON,MN; 100% OWNERSHIP; START DATE 06/15/2020; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; LAND OWNER.
CRS (Client Relationship Summary) - RIA
Click below to view James Christopher Galkowski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Christopher Galkowski'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®
CFP®
Start date: 1993
Experience
Current
April 30, 2021 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 2575 Commerce Drive Nw, Suite 115, Rochester, MN 55901RIA
BD
CRD#: 8158
Rochester, MN
Current
April 30, 2021 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 2575 Commerce Drive Nw, Suite 115, Rochester, MN 55901RIA
BD
CRD#: 8158
Rochester, MN
Past
January 3, 2011 - May 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ROCHESTER, MN
Past
January 3, 2011 - May 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ROCHESTER, MN
Past
December 15, 2000 - December 31, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
ROCHESTER, MN
Past
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
ROCHESTER, MN
Past
September 1, 2000 - May 7, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
September 3, 1991 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
October 24, 1989 - September 30, 1991
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 24, 1989 - September 30, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(4/30/2021)
RR
California(1/18/2022)
RR
Colorado(4/30/2021)
RR
Connecticut(1/23/2024)
RR
Florida(4/30/2021)
IAR
Florida(5/3/2021)
RR
Hawaii(4/30/2021)
RR
Illinois(4/30/2021)
RR
Iowa(5/25/2022)
RR
Kansas(5/28/2025)
RR
Kentucky(7/29/2021)
RR
Maryland(4/30/2021)
RR
Minnesota(4/30/2021)
IAR
Minnesota(4/30/2021)
RR
Missouri(4/30/2021)
RR
Montana(4/30/2021)
RR
New Jersey(4/30/2021)
RR
North Carolina(3/13/2024)
RR
Ohio(4/30/2021)
RR
South Carolina(4/30/2021)
RR
Texas(4/30/2021)
IAR
Texas(6/24/2021)
RR
Virginia(4/30/2021)
RR
Wisconsin(4/30/2021)
Exams
State Security Law Exam
State Security Law 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#: 8158Rochester, MN 55901TRUST BUT VERIFY
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