Michael G. Klein
ROBERT W. BAIRD & CO. | Managing Director
Milwaukee, WI 53202
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CRD#: 2279139
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.
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 100 Financial Advisor” and “Top 1200 Financial Advisor, State-by-State", the Financial Times “FT Top 400”, and the Forbes “Top Wealth Advisors”, and is a frequent presenter at industry conferences.
Question & Answer
What are your service offerings?
Executive services/Equity comp...
Trading individual securities
Institutional consulting
Trust & estate planning
Loans/credit services
Financial planning
Philanthropic services
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
10M
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: Ripple Records LLC 540 W Glenview Ave Oconomowoc WI 53066 Start Date: 8/15/22 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member Non Investment Related Name/Address: Commonfund Capital Secondary Partners IV, L.P / 15 Old Dandury Rd, Wilton, CT 06897 Start Date: 11/1/23 Hours Spent: 0-4 hours/month Hours Spent During Trading: 0-4 hours/month Role/Responsibility: Advisory Committee Member Investment Related Name/Address: Innovative Sign 21700 Doral Rd Waukesha WI 53186 Start Date: 1/9/25 Hours Spent: 1-5 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Investor Investment Related
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).
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
November 12, 2001 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 777 East Wisconsin Ave, Milwaukee, WI 53202RIA
BD
CRD#: 8158
Milwaukee, WI
Current
November 12, 2001 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 777 East Wisconsin Ave, Milwaukee, WI 53202RIA
BD
CRD#: 8158
Milwaukee, WI
Past
November 27, 1998 - November 16, 2001
CLEARY GULL INC.
BD
CRD#: 45309
MILWAUKEE, WI
Past
October 25, 1996 - November 27, 1998
CLEARY GULL REILAND & MCDEVITT INC.
BD
CRD#: 18716
MILWAUKEE, WI
Past
July 31, 1993 - October 25, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 6, 1992 - July 31, 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(7/13/2015)
RR
Alaska(7/13/2015)
RR
Arizona(2/21/2002)
RR
California(7/13/2015)
RR
Colorado(11/12/2001)
RR
Connecticut(7/13/2015)
RR
Delaware(10/12/2021)
RR
District of Columbia(7/13/2015)
RR
Florida(11/12/2001)
IAR
Florida(6/14/2017)
RR
Georgia(11/12/2001)
RR
Hawaii(9/16/2011)
RR
Idaho(10/26/2016)
RR
Illinois(11/12/2001)
RR
Indiana(11/12/2001)
RR
Iowa(10/18/2018)
RR
Kansas(7/24/2024)
RR
Kentucky(4/18/2023)
RR
Louisiana(2/22/2002)
RR
Maine(7/13/2015)
RR
Maryland(11/12/2001)
RR
Massachusetts(11/12/2001)
RR
Michigan(11/12/2001)
RR
Minnesota(7/16/2004)
RR
Mississippi(10/27/2008)
RR
Missouri(5/23/2018)
RR
Montana(5/13/2019)
RR
Nebraska(4/4/2025)
RR
Nevada(7/27/2020)
RR
New Hampshire(11/12/2001)
RR
New Jersey(2/21/2002)
RR
New Mexico(7/13/2015)
RR
New York(11/12/2001)
RR
North Carolina(11/12/2001)
RR
Ohio(11/12/2001)
RR
Oregon(8/14/2019)
RR
Pennsylvania(5/28/2015)
RR
South Carolina(2/21/2002)
RR
South Dakota(7/13/2015)
RR
Tennessee(3/8/2016)
RR
Texas(11/12/2001)
IAR
Texas(3/13/2017)
RR
Utah(10/7/2025)
RR
Vermont(4/1/2015)
RR
Virginia(11/12/2001)
RR
Washington(11/12/2001)
RR
Wisconsin(11/12/2001)
IAR
Wisconsin(11/12/2001)
RR
Wyoming(7/13/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
Managing DirectorCRD#: 8158Milwaukee, WI 53202TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
