MS
Michael D. Shea
ROBERT W. BAIRD & CO.
Murfreesboro, TN 37129
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CRD#: 1972276
MS
Professional summary
Michael Dorris Shea, who also goes by Michael D Shea, Mike Shea, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Murfreesboro, Tennessee.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael D Shea | Mike Shea
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.
BLUE RAIDER ATHLETICS ASSOCIATION, DIRECTOR/BOARD MEMBER, START DATE 09/01/2017, MTSU BOX 20, MURFREESBORO, TN 37132, SEMI ANNUAL MEETINS TO LEARN ABOUT MTSU ATHLETICS, 0 HRS/MO, 0 HRS/OTRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Dorris Shea's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Dorris Shea'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: 1639 Medical Center Pkwy Ste 305, Murfreesboro, TN 37129Office #2: 4020 Aspen Grove Drive Suite 520, Franklin, TN 37067RIA
BD
CRD#: 8158
Murfreesboro, TN
Current
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1639 Medical Center Pkwy Ste 305, Murfreesboro, TN 37129Office #2: 4020 Aspen Grove Drive Suite 520, Franklin, TN 37067RIA
BD
CRD#: 8158
Murfreesboro, TN
Past
March 30, 2004 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
MURFREESBORO, TN
Past
April 17, 1997 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
MURFREESBORO, TN
Past
January 3, 1996 - April 18, 1997
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
November 16, 1994 - June 7, 1995
TRANS FINANCIAL INVESTMENT SERVICES, INC.
BD
CRD#: 36539
NASHVILLE, TN
Past
September 27, 1990 - July 6, 1994
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
January 2, 1990 - February 27, 1990
H. T. FLETCHER SECURITIES INCORPORATED
BD
CRD#: 17297
Past
August 4, 1989 - November 28, 1989
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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(8/2/2021)
RR
Colorado(10/18/2019)
RR
Florida(10/18/2019)
RR
Georgia(10/18/2019)
RR
Idaho(10/22/2021)
RR
Illinois(10/18/2019)
RR
Indiana(6/6/2023)
RR
Kentucky(10/18/2019)
RR
Louisiana(10/18/2019)
RR
Massachusetts(10/18/2019)
RR
Mississippi(10/18/2019)
RR
Missouri(10/18/2019)
RR
Nevada(10/11/2023)
RR
New Jersey(10/23/2020)
RR
New York(5/8/2024)
RR
North Carolina(10/18/2019)
RR
Ohio(10/18/2019)
RR
Oklahoma(8/3/2022)
RR
Oregon(10/18/2019)
RR
Pennsylvania(8/11/2021)
RR
South Carolina(10/18/2019)
RR
Tennessee(10/18/2019)
IAR
Tennessee(10/18/2019)
IAR
Texas(10/18/2019)
RR
Texas(3/1/2021)
RR
Utah(12/2/2019)
RR
Virginia(10/18/2019)
RR
Washington(2/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/25/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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#: 8158Murfreesboro, TN 37129TRUST BUT VERIFY
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Contact information
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