TD
Timothy O. Dally
ROBERT W. BAIRD & CO.
Battle Creek, MI 49015
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CRD#: 2024947
TD
Professional summary
Timothy Olin Dally, who also goes by Tod Dally, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Battle Creek, Michigan.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Timothy has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tod Dally
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.
DALLY TIRE COMPANY, NON-INVEST RELATED, 109 W. CHICAGO ST, COLDWATER, MICHIGAN 49036 FAMILY TIRE AND AUTO SERVICE BUSINESS, DIRECTOR & OFFICER, 4/1/75, 12 HRS/MONTH, 0 HRS DURING TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Olin Dally's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Olin Dally'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: 4625 Beckley Road, Building 200, Battle Creek, MI 49015RIA
BD
CRD#: 8158
Battle Creek, MI
Current
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 4625 Beckley Road, Building 200, Battle Creek, MI 49015RIA
BD
CRD#: 8158
Battle Creek, MI
Past
November 10, 2016 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
BATTLE CREEK, MI
Past
November 7, 1997 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
BATTLE CREEK, MI
Past
August 16, 1991 - November 17, 1997
FIRST OF MICHIGAN CORPORATION
BD
CRD#: 311
DETROIT, MI
Past
October 19, 1990 - December 24, 1990
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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(10/18/2019)
RR
California(11/26/2019)
RR
Colorado(10/18/2019)
RR
Florida(10/18/2019)
IAR
Florida(1/19/2024)
RR
Georgia(7/31/2024)
RR
Illinois(10/18/2019)
RR
Indiana(10/18/2019)
RR
Iowa(11/26/2019)
RR
Kentucky(1/10/2024)
RR
Massachusetts(10/18/2019)
RR
Michigan(10/18/2019)
IAR
Michigan(10/18/2019)
RR
Missouri(10/18/2019)
RR
Nebraska(10/18/2019)
RR
Nevada(10/18/2019)
RR
New York(10/18/2019)
RR
North Carolina(10/18/2019)
RR
Ohio(10/18/2019)
RR
Oklahoma(10/18/2019)
RR
Pennsylvania(10/18/2019)
RR
Tennessee(10/18/2019)
RR
Texas(10/18/2019)
IAR
Texas(12/4/2019)
RR
Utah(2/12/2025)
RR
Virginia(10/18/2019)
RR
Washington(10/18/2019)
RR
West Virginia(10/18/2019)
RR
Wisconsin(10/18/2019)
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#: 8158Battle Creek, MI 49015TRUST BUT VERIFY
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