DS
Daniel J. Sullivan
ROBERT W. BAIRD & CO.
Yakima, WA 98902
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CRD#: 2312979
DS
Professional summary
Daniel Joseph Sullivan, CFP®, who also goes by Daniel J Sullivan, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Yakima, Washington.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel J Sullivan
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.
LA SALLE HIGH SCHOOL OF YAKIMA, BASKETBALL COACH, VOLUNTEER NAME & ADDRESS: LaSalle High School of Yakima Foundation 3000 Lightning Way Union Gap, WA 98903 NATURE OF ENTITY: Foundation supporting local Catholic High School RESPONSIBILITIES IN ROLE: Attend six meetings, support school financially and with time/talent...this includes periodic monetary contributions and also sitting on the Foundation's investment committee HOURS DEVOTED: 2 hours/month Name/Address: The Rotary Club of Yakima - Yakima, WA 98907 Start date: 7/1/24 Hours spent: 1-5/month Hours spent during trading Hours: 2/month Role/Responsibility: Treasurer Not Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Sullivan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Joseph Sullivan'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®
CFP®
Start date: 2008
Experience
Current
November 7, 2014 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 3907 Castlevale Rd Suite 100, Yakima, WA 98902RIA
BD
CRD#: 8158
Yakima, WA
Current
November 7, 2014 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 3907 Castlevale Rd Suite 100, Yakima, WA 98902RIA
BD
CRD#: 8158
Yakima, WA
Past
August 14, 2009 - November 7, 2014
MCADAMS WRIGHT RAGEN, INC.
RIA
CRD#: 45899
YAKIMA, WA
Past
August 14, 2009 - November 7, 2014
MCADAMS WRIGHT RAGEN, INC.
BD
CRD#: 45899
YAKIMA, WA
Past
June 1, 2009 - September 4, 2009
MORGAN STANLEY
RIA
CRD#: 149777
YAKIMA, WA
Past
June 1, 2009 - September 4, 2009
MORGAN STANLEY
BD
CRD#: 149777
YAKIMA, WA
Past
October 11, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
YAKIMA, WA
Past
September 21, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
YAKIMA, WA
Past
March 2, 1998 - September 27, 1999
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
June 30, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
March 10, 1993 - July 10, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Arizona(11/7/2014)
RR
California(11/7/2014)
RR
Colorado(11/7/2014)
RR
Florida(6/21/2022)
RR
Hawaii(1/29/2025)
RR
Idaho(11/7/2014)
RR
Illinois(11/7/2014)
RR
Iowa(5/14/2021)
RR
Montana(3/4/2021)
RR
New Jersey(9/7/2022)
RR
New York(1/29/2021)
RR
North Carolina(6/11/2018)
RR
Ohio(2/5/2025)
RR
Oregon(11/7/2014)
RR
South Carolina(5/14/2025)
RR
Texas(1/5/2021)
IAR
Texas(1/6/2021)
RR
Utah(10/23/2020)
RR
Virginia(11/7/2014)
RR
Washington(11/7/2014)
IAR
Washington(11/7/2014)
RR
West Virginia(12/13/2024)
RR
Wisconsin(9/6/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
CRD#: 8158Yakima, WA 98902TRUST BUT VERIFY
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