GG
Gerald A. Galbraith
ROBERT W. BAIRD & CO.
Abilene, TX 79601
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CRD#: 216613
GG
Professional summary
Gerald Alan Galbraith is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Abilene, Texas.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1964. Gerald has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 15, Series 5, Series 000, Series 1, Series 24, Series 9, Series 10, Series 4, Series 12 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
G & C GALBRAITH INV. LP; INV RELATED; ABILENE, TX; LP FOR RANCHING & INVESTMENT; 2.0% OWNERSHIP - MANAGING MEMBER; START 12/26/2001; 30 HOURS DEVOTED PER MONTH; NOT DURING TRADING HOURS. BEEFMASTER EDUCATION ENDOWMENT FOUNDATION; NOT INV. RELATED; BOERNE, TX; BOARD MEMBER; START DATE 10/1/2018; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES ATTENDING MEETINGS TO DISCUSS BUSINESS OF THE FOUNDATION, FUNDRAISING, SCHOLARSHIPS, RESEARCH GRANTS, INVESTMETN PERFORMANCE AND ANY OTHER TOPIC THAT COMES BEFOR THE BOD AND MAKING ALL RULES GOVERNING THE CONDUCT AND MANAGEMENT OF THE CORPORATION WHICH IT DEEMS ADVISABLE AND WHICH ARE NOT IN CONFLICT WITH THE PURPOSE OF THE CORPORATION, ITS ARTICLES OF INCORPORATION, OR ITS BY-LAWS. Name/Address: Beefmaster Education Endowment Foundation / 3833 South Texas Ave, Suite 276, Bryan, TX 77802 Start Date: 2/1/24 Hours Spent: 0-10 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member; Treasurer Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Alan Galbraith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gerald Alan Galbraith'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 5, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 400 Pine St, Suite 710, Abilene, TX 79601RIA
BD
CRD#: 8158
Abilene, TX
Current
October 5, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 400 Pine St, Suite 710, Abilene, TX 79601RIA
BD
CRD#: 8158
Abilene, TX
Past
January 1, 2008 - October 10, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ABILENE, TX
Past
January 1, 2008 - October 10, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ABILENE, TX
Past
November 12, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ABILENE, TX
Past
May 21, 1984 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ABILENE, TX
Past
December 15, 1964 - May 21, 1984
SCHNEIDER, BERNET & HICKMAN, INC.
BD
CRD#: 750
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(10/5/2018)
RR
Arizona(10/5/2018)
RR
California(10/5/2018)
RR
Colorado(10/5/2018)
RR
Connecticut(10/5/2018)
RR
Georgia(10/5/2018)
RR
Louisiana(10/5/2018)
RR
Mississippi(11/27/2024)
RR
Missouri(2/20/2024)
RR
New Mexico(4/14/2025)
RR
North Carolina(10/5/2018)
RR
Ohio(10/5/2018)
RR
Oklahoma(10/5/2018)
RR
South Carolina(10/5/2018)
RR
Tennessee(10/5/2018)
RR
Texas(10/5/2018)
IAR
Texas(10/5/2018)
RR
Virginia(10/5/2018)
RR
Washington(10/5/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 10/25/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/6/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 000
Date: 12/15/1964
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 12/15/1964
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 3/16/1968
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 3/16/1968
Registered Principal ExaminationSRO 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.
