AP
Amy L. Pongratz
ROBERT W. BAIRD & CO.
Scottsdale, AZ 85254
Some features on this profile are disabled
CRD#: 2412290
AP
Professional summary
Amy Lynn Pongratz, who also goes by Amy Lynn Baumgartner, Amy L B Klein, Amy Lynn Klein, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Scottsdale, Arizona.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Amy has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy Lynn Baumgartner | Amy L B Klein | Amy Lynn Klein
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.
(1)Name of Business: Capital Wealth Partners Address: 36600 N Pima Rd Unit 104, Carefree, AZ, 85377, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 09/01/2023 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 21-40 Description of duties: My Role is: Operations Manager, Registered Principal (2)Name of Business: Kendrick Wealth Management Address: 36600 North Pima Road Suite 104, Carefree, AZ, 85377, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/19/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Role is Operations Manager: Responsible for Operational activities of branch, client service needs, branch administration, trading if requested. (3)Name of Business: Sunstone Wealth Management Address: 36600 N Pima Rd Unit 104, Carefree, AZ, 85377, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 02/11/2023 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 2-10 Description of duties: I am the Registered Principal/Operations Manager for branch AQC03 - Sunstone Wealth Management. My main branch is AQC which is the OSJ branch. Sunstone Wealth Mgt. Wants to put my profile on their website as part of their team. I will continue to work out of my branch, AQC
CRS (Client Relationship Summary) - RIA
Click below to view Amy Lynn Pongratz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amy Lynn Pongratz'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 6, 2025 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 14648 N Scottsdale Rd Ste 175, Scottsdale, AZ 85254RIA
BD
CRD#: 8158
Scottsdale, AZ
Current
November 5, 2025 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 14648 N Scottsdale Rd Ste 175, Scottsdale, AZ 85254RIA
BD
CRD#: 8158
Scottsdale, AZ
Past
May 8, 2017 - October 29, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
CAREFREE, AZ
Past
April 24, 2017 - October 29, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CAREFREE, AZ
Past
February 10, 2017 - April 25, 2017
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
PHOENIX, AZ
Past
June 1, 2016 - April 25, 2017
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
PHOENIX, AZ
Past
May 5, 2011 - June 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PHOENIX, AZ
Past
June 26, 2009 - June 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PHOENIX, AZ
Past
June 1, 2009 - July 1, 2009
MORGAN STANLEY
BD
CRD#: 149777
PHOENIX, AZ
Past
February 17, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PHOENIX, AZ
Past
July 11, 2002 - November 3, 2003
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
March 2, 2001 - January 30, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 20, 1998 - November 8, 2000
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
January 10, 1997 - June 11, 1998
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
July 25, 1995 - October 1, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 18, 1994 - July 24, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(11/5/2025)
IAR
Arizona(11/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/16/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
