Michael George Klein
Professional Summary
Michael George Klein is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Milwaukee, Wisconsin. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Investment Management
- Estate & Legacy Planning
- Financial Planning
Specializations
Biography
Mike oversees research and portfolio management for Baird Private Asset Management. He has been advising institutions and ultra high-net-worth individuals for more than 20 years. Mike holds a Bachelor of Science in electrical engineering from the University of Michigan, an MBA from Marquette University, and is also a graduate of the Advanced Money Management Program at the Wharton School of Business. Mike has been recognized repeatedly for his industry leadership by Barron’s as a “Top...
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
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
Contact Information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391Mailing Address
P.o. Box 672, Milwaukee, WI 53201Phone Number
(414) 765-3500Established
Wisconsin since 12/29/1919Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
4,322SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US 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 |
| LANGENFELD, JON A | CHIEF FINANCIAL OFFICER | 4322120 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| 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
367,123AUM (Assets Under Management)
$394,068,801,480Disclosures
Regulatory Event
44Arbitration
31Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2025 | Cover Page | Report |
| 10/24/2024 | Cover Page | Report |
| 11/15/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(7/13/2015)
(7/13/2015)
(2/21/2002)
(7/13/2015)
(11/12/2001)
(7/13/2015)
(10/12/2021)
(7/13/2015)
(11/12/2001)
(6/14/2017)
(11/12/2001)
(9/16/2011)
(10/26/2016)
(11/12/2001)
(11/12/2001)
(10/18/2018)
(7/24/2024)
(4/18/2023)
(2/22/2002)
(7/13/2015)
(11/12/2001)
(11/12/2001)
(11/12/2001)
(7/16/2004)
(10/27/2008)
(5/23/2018)
(5/13/2019)
(4/4/2025)
(7/27/2020)
(11/12/2001)
(2/21/2002)
(7/13/2015)
(11/12/2001)
(11/12/2001)
(11/12/2001)
(8/14/2019)
(5/28/2015)
(2/21/2002)
(7/13/2015)
(3/8/2016)
(11/12/2001)
(3/13/2017)
(10/7/2025)
(4/1/2015)
(11/12/2001)
(11/12/2001)
(11/12/2001)
(11/12/2001)
(7/13/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael George Klein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael George Klein's CRS (Customer Relationship Summary).
Services Offered by Michael
- Investment Management
- Estate & Legacy Planning
- Financial Planning
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