JS
Jeffrey L. Stewart
ROBERT W. BAIRD & CO.
Mt Vernon, WA 98273
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CRD#: 2685383
JS
Professional summary
Jeffrey Lewis Stewart, who also goes by Jeffrey Stewart, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Mt Vernon, Washington.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jeffrey has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeffrey Stewart
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 AND ADDRESS: IMMACULATE CONCEPTION REGIONAL SCHOOL ENDOWMENT FUND 1321 E DIVISION STREET MOUNT VERNON, WA 98274 NATURE OF ENTITY: THE ENDOWMENT FUND OF ICRS WAS DEVELOPED TO INSURE THE LONG-TERM SURVIVAL OF THE SCHOOL. THE PURPOSE IS TO ENHANCE THE LONG-TERM ABILITY OF ICS TO PROVIDE THE EDUCATION OF STUDENTS AT THE LOWEST POSSIBLE COST. RESPONSIBILITIES IN THIS ROLE: I HAVE THE ROLE OF MAKING INVESTMENT DECISIONS FOR THE ICRS ENDOWMENT FUNDS. I REPORT TO THE BOARD ONCE A QUARTER ON THE PERFORMANCE OF THE FUNDS IN THE ACCOUNTS AND ANY CHANGES MADE DURING THE QUARTER HOURS DEVOTED: 4 HOURS PER QUARTER. NONE DURING SECURITIES TRADING HOURS. Name/Address: Mount Vernon School Tennis Booster Club Treasurer 314 N 9th St Mount Vernon WA 98273 Start Date: 5/15/23 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Treasurer Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Lewis Stewart's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Lewis Stewart'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 7, 2014 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1404 East College Way Suite 103, Mt Vernon, WA 98273RIA
BD
CRD#: 8158
Mt Vernon, WA
Current
November 7, 2014 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1404 East College Way Suite 103, Mt Vernon, WA 98273RIA
BD
CRD#: 8158
Mt Vernon, WA
Past
December 1, 2010 - November 7, 2014
MCADAMS WRIGHT RAGEN, INC.
RIA
CRD#: 45899
MOUNT VERNON, WA
Past
December 1, 2010 - November 7, 2014
MCADAMS WRIGHT RAGEN, INC.
BD
CRD#: 45899
MOUNT VERNON, WA
Past
January 27, 2000 - December 6, 2010
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
MOUNT VERNON, WA
Past
January 31, 1996 - December 6, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
MOUNT VERNON, WA
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
Alaska(3/13/2017)
RR
Arizona(11/7/2014)
RR
Arkansas(4/16/2024)
RR
California(11/7/2014)
RR
Colorado(8/30/2018)
RR
Florida(12/8/2014)
IAR
Florida(2/21/2019)
RR
Georgia(12/12/2014)
RR
Idaho(11/7/2014)
RR
Maine(5/31/2023)
RR
Massachusetts(10/16/2020)
RR
Michigan(11/4/2024)
RR
Minnesota(4/24/2020)
RR
Montana(3/1/2022)
RR
Nevada(4/26/2021)
RR
New Hampshire(4/24/2020)
RR
New Mexico(1/24/2019)
RR
New York(7/10/2024)
RR
North Carolina(11/7/2014)
RR
Oklahoma(5/28/2019)
RR
Oregon(11/7/2014)
RR
Pennsylvania(11/7/2014)
RR
Texas(5/9/2017)
IAR
Texas(10/5/2017)
RR
Virginia(9/30/2021)
RR
Washington(11/7/2014)
IAR
Washington(11/7/2014)
RR
Wyoming(11/9/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158Mt Vernon, WA 98273TRUST BUT VERIFY
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