JH
Jennifer L. Hawthorne
ROBERT W. BAIRD & CO.
Nashville, TN
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CRD#: 2490387
JH
Professional summary
Jennifer L Hawthorne, who also goes by Jennifer Lee Hawthorne, Jennifer Lee Miller, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Nashville, Tennessee.
Jennifer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Jennifer has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jennifer Lee Hawthorne | Jennifer Lee Miller
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: The Lakeside Group LLC DBA Hometeam Pizza 2017 Belmont Nashville TN 37212 Start Date: 7/8/25 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: LLC Member; Passive Investor Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Jennifer L Hawthorne's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jennifer L Hawthorne'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
June 4, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #2: 777 East Wisconsin Ave, Milwaukee, WI 53202RIA
BD
CRD#: 8158
Nashville, TN
Current
August 19, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 777 East Wisconsin Ave, Milwaukee, WI 53202RIA
BD
CRD#: 8158
Milwaukee, WI
Past
June 27, 2017 - August 12, 2019
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
September 18, 2015 - January 9, 2016
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
October 19, 2004 - November 22, 2010
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
DUBLIN, OH
Past
May 9, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
DUBLIN, OH
Past
May 9, 2001 - September 24, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
DUBLIN, OH
Past
January 29, 2001 - March 16, 2001
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
COLUMBUS, OH
Past
February 18, 1999 - December 31, 2000
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
BROOKLYN, OH
Past
February 6, 1996 - February 10, 1999
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
December 20, 1995 - January 1, 1996
BANC ONE CAPITAL MARKETS, INC.
BD
CRD#: 27267
COLUMBUS, OH
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
Ohio(8/19/2019)
IAR
Ohio(6/4/2020)
RR
Tennessee(7/20/2021)
IAR
Tennessee(7/20/2021)
RR
Wisconsin(6/4/2020)
IAR
Wisconsin(6/4/2020)
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
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.
