Robert B. Baird
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.
Robert Bruce Baird, AIF®, ChFC®, CIMA® was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 16 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2019 - January 7, 2022
MOORS & CABOT, INC.
March 29, 2019 - January 7, 2022
MOORS & CABOT, INC.
November 2, 2018 - April 3, 2019
OSAIC WEALTH, INC.
November 2, 2018 - April 3, 2019
OSAIC WEALTH, INC.
December 12, 2012 - November 2, 2018
SIGNATOR INVESTORS, INC.
November 30, 2012 - November 2, 2018
SIGNATOR INVESTORS, INC.
March 3, 2009 - December 13, 2012
ASSET & FINANCIAL PLANNING, LTD
January 5, 2009 - December 13, 2012
PRIME CAPITAL SERVICES, INC.
June 5, 2008 - November 25, 2008
CAMARDA WEALTH ADVISORY GROUP
September 19, 2007 - June 11, 2008
ASSET & FINANCIAL PLANNING, LTD
September 14, 2007 - June 11, 2008
PRIME CAPITAL SERVICES, INC.
May 31, 2007 - August 20, 2007
INVESTORS CAPITAL CORP.
May 16, 2007 - August 20, 2007
INVESTORS CAPITAL CORP.
April 2, 2007 - May 9, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - May 9, 2007
MORGAN STANLEY & CO. LLC
February 17, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
February 9, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
May 29, 1997 - March 18, 1998
IDS LIFE INSURANCE COMPANY
May 29, 1997 - March 18, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
July 1, 1996 - March 5, 1997
MESIROW FINANCIAL, INC.
January 1, 1995 - July 9, 1996
CARILLON INVESTMENTS, INC.
November 29, 1993 - November 15, 1994
WS GRIFFITH SECURITIES, INC.
January 29, 1993 - November 29, 1993
VP DISTRIBUTORS LLC
April 20, 1992 - August 24, 1992
CINCINNATI ANALYSTS, INC.
Primary Firm SEC Registration
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
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: 4/16/2024
General Securities Representative ExaminationCurrent Firm
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
Contact information
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
