SW
Sean C. Wintz
ROBERT W. BAIRD & CO. | Executive Director, Financial Planning
Alexandria, VA 22314
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CRD#: 2727753
SW
Professional summary
Sean Charles Wintz, CIMA®, who also goes by Sean C Wintz, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Alexandria, Virginia.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Sean has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Biography
As a financial planner, I take great pride in helping my clients find simple yet meaningful solutions to the complexities of their unique situation. Outside of work, I enjoy spending time with my wife and sons, and love classic car events and road rallies.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean C Wintz
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) INSURANCE SERVICES OFFERED THROUGH EDELMAN FINANCIAL SERVICES, LLC AND EF LEGACY SECURITIES, LLC POSITION: Agent NATURE: Agent for various insurance companies INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 04/22/2016 ADDRESS: 4000 Legato Road, 9th Floor, Fairfax VA 22033 DESCRIPTION: Insurance services offered to clients of Edelman Financial Services, LLC and EF Legacy Securities, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Charles Wintz'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®
Education
Georgetown University
University of Maryland
Experience
Current
September 25, 2025 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 211 N Union Street Suite 100, Alexandria, VA 22314RIA
BD
CRD#: 8158
Alexandria, VA
Past
November 1, 2018 - October 21, 2025
EDELMAN FINANCIAL ENGINES
RIA
CRD#: 104510
ALEXANDRIA, VA
Past
April 22, 2016 - October 31, 2018
RETIREONE INVESTMENT SERVICES, LLC
BD
CRD#: 269923
NEW YORK, NY
Past
October 26, 2007 - November 1, 2018
EDELMAN FINANCIAL SERVICES, LLC
RIA
CRD#: 113299
ALEXANDRIA, VA
Past
October 26, 2007 - April 22, 2016
SANDERS MORRIS LLC
BD
CRD#: 20580
ALEXANDRIA, VA
Past
September 20, 2004 - October 3, 2007
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
MCLEAN, VA
Past
September 17, 2004 - October 3, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
TYSONS CORNER, VA
Past
May 25, 2004 - August 31, 2004
MCCRACKEN ADVISORY PARTNERS CORPORATION
BD
CRD#: 35533
MINNEAPOLIS, MN
Past
November 1, 2000 - June 3, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LARGO, MD
Past
April 7, 2000 - June 3, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 16, 1998 - April 14, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
February 26, 1998 - May 4, 1998
PRIME CHARTER LTD.
BD
CRD#: 25668
NEW YORK, NY
Past
July 10, 1996 - January 12, 1998
BARINGTON CAPITAL GROUP, L.P.
BD
CRD#: 29383
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.Highlighted states indicate IAR registrations
IAR
Maryland(9/25/2025)
IAR
Texas(9/25/2025)
IAR
Virginia(9/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/21/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
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
Executive Director, Financial PlanningCRD#: 8158Alexandria, VA 22314TRUST BUT VERIFY
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