Richard T. Fisher
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.
Richard Thomas Fisher, who also goes by Richard T Fischermann, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 10, Series 24, Series 9, Series 4, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2018 - January 10, 2023
ROBERT W. BAIRD & CO. INCORPORATED
November 30, 2018 - January 10, 2023
ROBERT W. BAIRD & CO. INCORPORATED
January 3, 2003 - December 7, 2018
OPPENHEIMER & CO. INC.
January 3, 2003 - December 7, 2018
OPPENHEIMER & CO. INC.
October 31, 1995 - January 3, 2003
CIBC WORLD MARKETS CORP.
August 15, 1991 - April 18, 1995
CIBC WORLD MARKETS CORP.
June 1, 1990 - January 3, 2003
CIBC WORLD MARKETS CORP.
July 13, 1989 - May 18, 1990
LEHMAN BROTHERS INC.
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
May 22, 1974 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
May 22, 1974 - June 29, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 6, 1970 - May 17, 1974
FISHER CORPORATION
Primary Firm SEC Registration
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 12
Date: 2/19/1975
NYSE Branch Manager ExaminationSeries 00
Date: 8/9/1967
General Securities Principal ExaminationCurrent Firm
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
Contact information
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.
