SP
Stewart J. Parker
ROBERT W. BAIRD & CO.
Columbia, TN 38401
Some features on this profile are disabled
CRD#: 2520354
SP
Professional summary
Stewart James Parker is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Columbia, Tennessee.
Stewart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Stewart has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) WETSWERD PROPERTIES A DIVISION OF WETSWERD HOLDINGS LLC. REAL ESTATE INVESTMENTS. TN. MANAGING MEMBER. START DATE 2006. 0 HOURS PER WEEK DURING OR OUTSIDE SECURITIES TRADING HOURS**
2) WETSWERD MOTOR CARS A DIVISION OF WETSWERD HOLDINGS LLC. TN. TENNESSEE MOTOR VEHICLE DEALERSHIP. DEALER. 0 HOURS PER WEEK DURING SECURITIES TRADING HOURS, 2-5 HOURS PER WEEK OUTSIDE TRADING HOURS**
3) WETSWERD HOLDINGS. COLUMBIA, TN. FAMILY REAL ESTATE INVESTMENTS, USED CAR DEALERSHIP. MANAGING PARTNER/TN MOTOR VEHICLE DEALER. 10-15 HOUR PER MONTH OUTSIDE SECURITIES TRADING HOURS, 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS**
5.Industrial Development Board of Maury County; Investment related No; Government / Municipality / Political ; Member (proprietor, partner, officer, director, employee, trustee, agent); Mar 2018; During business hours: 0; After business hours: 0.25
*397582 - Estate Administration (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); May 2020; During Business Hours: 0; After Business Hours: 0.
Name/Address: Gold Coast Shipping Company LLC 1211 Woodland Crossing Columbia TN 38401 Start Date: 9/4/20 Hours Spent: 0-3 hours/month
Hours Spent During Trading: Zero
Role/Responsibility: LLC Member/Owner/Landlord
Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Stewart James Parker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stewart James Parker'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 15, 2021 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 500 W 7th Street, Columbia, TN 38401RIA
BD
CRD#: 8158
Columbia, TN
Current
June 15, 2021 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 500 W 7th Street, Columbia, TN 38401RIA
BD
CRD#: 8158
Columbia, TN
Past
September 4, 2020 - June 14, 2021
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
Franklin, TN
Past
September 4, 2020 - June 14, 2021
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
Franklin, TN
Past
June 1, 2009 - September 9, 2020
MORGAN STANLEY
RIA
CRD#: 149777
COLUMBIA, TN
Past
June 1, 2009 - September 9, 2020
MORGAN STANLEY
BD
CRD#: 149777
COLUMBIA, TN
Past
November 7, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
FRANKLIN, TN
Past
November 7, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
FRANKLIN, TN
Past
May 12, 2000 - November 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLUMBIA, TN
Past
January 24, 1997 - November 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLUMBIA, TN
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
Alabama(6/16/2021)
RR
Arizona(6/15/2021)
RR
Arkansas(6/15/2021)
RR
California(6/15/2021)
RR
Colorado(6/16/2021)
RR
Delaware(8/3/2021)
RR
District of Columbia(6/15/2021)
RR
Florida(6/15/2021)
IAR
Florida(7/23/2021)
RR
Georgia(6/15/2021)
RR
Idaho(5/23/2024)
RR
Illinois(6/16/2021)
RR
Indiana(6/17/2021)
RR
Iowa(2/6/2025)
RR
Kansas(6/15/2021)
RR
Kentucky(6/15/2021)
RR
Louisiana(6/15/2021)
RR
Maine(6/15/2021)
RR
Massachusetts(6/15/2021)
RR
Michigan(6/15/2021)
RR
Mississippi(6/15/2021)
RR
Missouri(6/15/2021)
RR
New Jersey(6/15/2021)
RR
New York(6/15/2021)
RR
North Carolina(6/15/2021)
RR
Ohio(6/15/2021)
RR
Oklahoma(1/11/2022)
RR
Oregon(8/7/2024)
RR
Pennsylvania(7/29/2022)
RR
South Carolina(6/15/2021)
RR
Tennessee(6/15/2021)
IAR
Tennessee(6/16/2021)
RR
Texas(6/15/2021)
IAR
Texas(6/15/2021)
RR
Virginia(6/15/2021)
RR
Washington(6/16/2021)
RR
Wisconsin(6/15/2021)
Exams
State Security Law Exam
State Security Law Exam
General 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.
