WS
Wesley M. Sullivan
ROBERT W. BAIRD & CO.
Nashville, TN 37215
Some features on this profile are disabled
CRD#: 2513084
WS
Professional summary
Wesley Mandeville Sullivan, who also goes by Wes Sullivan, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Nashville, Tennessee.
Wesley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Wesley has worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wes 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Wesley Mandeville Sullivan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wesley Mandeville 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®
NoneExperience
Current
June 9, 2004 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 4017 Hillsboro Pike Suite 403, Nashville, TN 37215RIA
BD
CRD#: 8158
Nashville, TN
Current
May 1, 2002 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 4017 Hillsboro Pike Suite 403, Nashville, TN 37215RIA
BD
CRD#: 8158
Nashville, TN
Past
August 1, 1997 - April 16, 2002
REFCO SECURITIES, LLC
BD
CRD#: 14094
NEW YORK, NY
Past
July 7, 1997 - July 29, 1997
REFCO SECURITIES, LLC
BD
CRD#: 14094
Past
July 1, 1997 - July 14, 1997
BERSEC INTERNATIONAL CORPORATION
BD
CRD#: 23530
Past
November 17, 1995 - June 2, 1997
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
January 26, 1995 - October 16, 1995
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
December 6, 1994 - December 30, 1994
BHF SECURITIES CORPORATION
BD
CRD#: 7749
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
California(1/12/2004)
RR
Connecticut(1/23/2003)
RR
Florida(2/2/2006)
RR
Georgia(7/19/2002)
RR
Hawaii(8/11/2006)
RR
Illinois(2/13/2003)
RR
Kentucky(6/4/2009)
RR
Louisiana(3/28/2019)
RR
Massachusetts(3/9/2011)
RR
Michigan(7/19/2002)
RR
Missouri(8/18/2008)
RR
Nebraska(3/28/2019)
RR
New Jersey(5/1/2002)
RR
New York(5/1/2002)
RR
North Carolina(7/19/2002)
RR
Ohio(1/13/2004)
RR
Oklahoma(9/6/2006)
RR
Oregon(8/12/2020)
RR
Pennsylvania(11/22/2010)
RR
Rhode Island(12/19/2008)
RR
South Carolina(1/4/2006)
RR
Tennessee(5/1/2002)
IAR
Tennessee(6/9/2004)
RR
Utah(4/17/2017)
RR
Virginia(7/19/2002)
RR
Washington(9/30/2005)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/5/2000
Limited Representative-Equity Trader ExamGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
