Robert A. Haviland
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert A Haviland, who also goes by Robert A Haviland, Robert Andrew Haviland, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2023 - April 4, 2024
ROBERT W. BAIRD & CO. INCORPORATED
October 18, 2017 - June 30, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 19, 2013 - October 11, 2017
ROBERT W. BAIRD & CO. INCORPORATED
December 11, 2008 - March 20, 2013
GLEACHER & COMPANY SECURITIES, INC.
May 27, 2003 - November 4, 2004
SCOTT & STRINGFELLOW, LLC
August 30, 2001 - June 2, 2003
RAYMOND JAMES & ASSOCIATES, INC.
September 12, 2000 - October 4, 2001
INTL FCSTONE CREDIT TRADING LLC
October 6, 1999 - December 19, 2000
LIMITRADER SECURITIES, INC.
March 3, 1998 - July 22, 1999
BNY CAPITAL MARKETS INC.
March 28, 1996 - March 3, 1998
EAGLE ROCK CAPITAL GROUP, INC.
April 5, 1995 - January 19, 1996
RYAN BECK & CO.
Primary Firm SEC Registration
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
Contact information
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.
