WT
William D. Twombly
ROBERT W. BAIRD & CO.
Stamford, CT 06902
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CRD#: 2394722
WT
Professional summary
William Douglas Twombly, who also goes by Doug Twombly, William Twombly, is a registered financial professional currently at ROBERT W. BAIRD & CO. INCORPORATED located in Stamford, Connecticut.
William is registered as a RR (Registered Representative) and started their career in finance in 1999. William has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Doug Twombly | William Twombly
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) - BD
Click below to view William Douglas Twombly'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
July 1, 2022 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 300 First Stamford Place Suite 404, Stamford, CT 06902RIA
BD
CRD#: 8158
Stamford, CT
Past
September 27, 2016 - June 21, 2022
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
Darien, CT
Past
September 16, 2013 - September 30, 2016
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
NEW YORK, NY
Past
June 12, 2012 - September 4, 2013
LOOP CAPITAL MARKETS LLC
BD
CRD#: 43098
NEW YORK, NY
Past
April 11, 2011 - June 7, 2012
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
NEW YORK, NY
Past
April 7, 2011 - June 7, 2012
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
NEW YORK, NY
Past
May 28, 2009 - February 2, 2011
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
NEW YORK, NY
Past
September 22, 2008 - February 2, 2011
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
June 19, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 21, 1999 - May 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
June 2, 1999 - May 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 19, 1999 - June 7, 1999
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
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.
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
California(7/1/2022)
RR
Colorado(7/1/2022)
RR
Connecticut(7/1/2022)
RR
Illinois(7/1/2022)
RR
Iowa(7/1/2022)
RR
Kansas(7/1/2022)
RR
Massachusetts(7/1/2022)
RR
Minnesota(7/5/2022)
RR
Missouri(7/1/2022)
RR
New Jersey(7/1/2022)
RR
New York(7/1/2022)
RR
Ohio(7/1/2022)
RR
Oregon(7/1/2022)
RR
Vermont(7/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product 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)
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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 |
|---|---|---|
| 12/23/2025 | ||
| 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.
