DL
David W. Lubchenco
ROBERT W. BAIRD & CO.
Boulder, CO 80302
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CRD#: 2277212
DL
Professional summary
David Warren Lubchenco is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Boulder, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. David has worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6 and Series 26 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Warren Lubchenco's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Warren Lubchenco'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
April 25, 2016 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 921 Walnut St Suite 250, Boulder, CO 80302Office #2: 210 University Boulevard Ste 800, Denver, CO 80206RIA
BD
CRD#: 8158
Boulder, CO
Current
April 25, 2016 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 921 Walnut St Suite 250, Boulder, CO 80302Office #2: 210 University Boulevard Ste 800, Denver, CO 80206RIA
BD
CRD#: 8158
Boulder, CO
Past
April 29, 2014 - April 19, 2016
DISTRIBUTION SERVICES, LLC
BD
CRD#: 25938
PORTLAND, ME
Past
July 12, 2013 - May 11, 2016
MARSICO CAPITAL MANAGEMENT, LLC
RIA
CRD#: 109250
DENVER, CO
Past
September 17, 2012 - May 16, 2014
CHAUTAUQUA CAPITAL MANAGEMENT LLC
RIA
CRD#: 151238
BOULDER, CO
Past
October 8, 2010 - September 5, 2012
SCOUT INVESTMENTS, INC.
RIA
CRD#: 111787
KANSAS CITY, MO
Past
October 5, 2010 - September 5, 2012
DISTRIBUTION SERVICES, LLC
BD
CRD#: 25938
KANSAS CITY, MO
Past
September 28, 2006 - April 1, 2010
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
July 2, 2004 - April 5, 2010
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108488
DENVER, CO
Past
February 20, 1998 - January 3, 2002
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
Past
July 1, 1996 - February 23, 1998
FOUNDERS ASSET MANAGEMENT, INC.
BD
CRD#: 323
DENVER, CO
Past
September 21, 1992 - March 25, 1996
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
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(12/16/2024)
RR
Alaska(12/16/2024)
RR
Arizona(12/16/2024)
RR
Arkansas(12/16/2024)
RR
California(12/16/2024)
RR
Colorado(4/25/2016)
IAR
Colorado(4/25/2016)
RR
Connecticut(12/16/2024)
RR
Delaware(12/16/2024)
RR
District of Columbia(12/16/2024)
IAR
Florida(4/28/2016)
RR
Florida(12/16/2024)
RR
Georgia(12/16/2024)
RR
Hawaii(12/16/2024)
RR
Idaho(12/16/2024)
RR
Illinois(12/16/2024)
RR
Indiana(12/16/2024)
RR
Iowa(12/16/2024)
RR
Kansas(12/16/2024)
RR
Kentucky(12/16/2024)
RR
Louisiana(12/16/2024)
RR
Maine(12/16/2024)
RR
Maryland(12/16/2024)
RR
Massachusetts(12/16/2024)
RR
Michigan(12/16/2024)
RR
Minnesota(12/16/2024)
RR
Mississippi(12/16/2024)
RR
Missouri(12/16/2024)
RR
Montana(12/16/2024)
RR
Nebraska(12/16/2024)
RR
Nevada(12/16/2024)
RR
New Hampshire(12/16/2024)
RR
New Jersey(12/16/2024)
RR
New Mexico(12/16/2024)
RR
New York(12/16/2024)
RR
North Carolina(12/16/2024)
RR
North Dakota(12/16/2024)
RR
Ohio(12/16/2024)
RR
Oklahoma(12/16/2024)
RR
Oregon(12/16/2024)
RR
Pennsylvania(12/16/2024)
RR
Puerto Rico(12/16/2024)
RR
Rhode Island(12/16/2024)
RR
South Carolina(12/16/2024)
RR
South Dakota(12/16/2024)
RR
Tennessee(12/16/2024)
IAR
Texas(4/25/2016)
RR
Texas(12/16/2024)
RR
Utah(12/16/2024)
RR
Vermont(12/16/2024)
RR
Virginia(12/16/2024)
RR
Washington(12/16/2024)
RR
West Virginia(12/16/2024)
RR
Wisconsin(12/16/2024)
RR
Wyoming(12/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/23/2025
General Securities Representative ExaminationGeneral 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.
