NG
Noel B. Gyllenhaal
ROBERT W. BAIRD & CO.
New York, NY 10036
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CRD#: 2074513
NG
Professional summary
Noel Benjamin Gyllenhaal, who also goes by Noel B Gyllenhaal, is a registered financial professional currently at ROBERT W. BAIRD & CO. INCORPORATED located in New York, New York.
Noel is registered as a RR (Registered Representative) and started their career in finance in 1990. Noel has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Noel B Gyllenhaal
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 Noel Benjamin Gyllenhaal'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
November 18, 2024 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1155 Avenue Of The Americas 16th Floor, New York, NY 10036RIA
BD
CRD#: 8158
New York, NY
Past
April 30, 2018 - November 18, 2024
DREXEL HAMILTON, LLC
BD
CRD#: 143570
NEW YORK, NY
Past
September 10, 2009 - February 26, 2018
SUSQUEHANNA FINANCIAL GROUP, LLLP
BD
CRD#: 35865
NEW YORK, NY
Past
May 15, 2006 - September 17, 2009
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
January 7, 2005 - May 16, 2006
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
PHILADELPHIA, PA
Past
June 1, 1999 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
January 11, 1999 - June 9, 1999
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
July 19, 1996 - December 15, 1998
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
June 23, 1995 - June 6, 1996
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Past
July 26, 1994 - July 11, 1995
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
September 12, 1991 - August 1, 1994
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Past
July 31, 1990 - September 25, 1990
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
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
California(11/18/2024)
RR
Florida(11/18/2024)
RR
Georgia(11/18/2024)
RR
Illinois(11/18/2024)
RR
Louisiana(11/18/2024)
RR
Massachusetts(11/18/2024)
RR
New Jersey(11/18/2024)
RR
New York(11/18/2024)
RR
Pennsylvania(11/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
