AC
Alexander S. Cushner
ROBERT W. BAIRD & CO.
Mill Valley, CA 94941
Some features on this profile are disabled
CRD#: 2272595
AC
Professional summary
Alexander Scott Cushner is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Mill Valley, California.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Alexander has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
Name/Address: Rental Property 349 N Ferndale Mill Valley CA 94941 Start Date: 6/1/22 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: Owner/Landlord Non Investment Related Name/Address: Corner Gastrobar / 106 Throckmorton, Mill Valley, CA 94941 Start Date: 11/20/23 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: LLC Limited Partner Non-Investment Related Name/Address: Mill Valley Community Golf Board Member 280 Buena Vista Ave Mill Valley CA 94941 Start Date: 7/1/21 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member; Investment Finance Committee Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Scott Cushner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexander Scott Cushner'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
September 30, 2011 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 2 Belvedere Place Suite 330, Mill Valley, CA 94941RIA
BD
CRD#: 8158
Mill Valley, CA
Current
September 30, 2011 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 2 Belvedere Place Suite 330, Mill Valley, CA 94941RIA
BD
CRD#: 8158
Mill Valley, CA
Past
June 17, 2005 - October 26, 2011
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
SAN FRANCISCO, CA
Past
June 17, 2005 - October 26, 2011
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
SAN FRANCISCO, CA
Past
May 4, 2004 - June 21, 2005
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
SAN FRANCISCO, CA
Past
October 12, 2000 - June 21, 2005
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 1, 1998 - October 18, 2000
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
February 28, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Past
June 22, 1993 - February 21, 1995
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
November 20, 1992 - July 13, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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.
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(11/26/2019)
RR
Arizona(9/30/2011)
RR
California(9/30/2011)
IAR
California(10/3/2011)
RR
Colorado(9/30/2011)
RR
District of Columbia(9/30/2011)
RR
Florida(9/30/2011)
RR
Georgia(6/6/2013)
RR
Idaho(10/29/2021)
RR
Illinois(5/9/2018)
RR
Maryland(9/30/2011)
RR
Massachusetts(9/30/2011)
RR
Michigan(2/25/2020)
RR
Minnesota(9/30/2011)
RR
Montana(9/30/2011)
RR
Nevada(10/1/2018)
RR
New Hampshire(11/13/2017)
RR
New Jersey(9/30/2011)
RR
New Mexico(5/9/2018)
RR
New York(9/30/2011)
RR
North Carolina(10/29/2021)
RR
Ohio(10/4/2021)
RR
Oregon(9/30/2011)
RR
Pennsylvania(2/1/2023)
RR
South Carolina(4/12/2021)
RR
Tennessee(11/18/2019)
IAR
Texas(9/30/2011)
RR
Texas(6/11/2013)
RR
Utah(4/9/2020)
RR
Virginia(9/30/2011)
RR
Washington(9/30/2011)
RR
Wisconsin(10/30/2013)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 8158Mill Valley, CA 94941TRUST BUT VERIFY
Monitor Alexander Cushner
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
