MS
Michael D. Spellman
ROBERT W. BAIRD & CO.
New York, NY 10036
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CRD#: 2919151
MS
Professional summary
Michael Damian Spellman, who also goes by Mike Spellman, is a registered financial professional currently at ROBERT W. BAIRD & CO. INCORPORATED located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 5 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Spellman
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) - BD
Click below to view Michael Damian Spellman'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
September 5, 2023 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1155 Avenue Of The Americas 16th Floor, New York, NY 10036RIA
BD
CRD#: 8158
New York, NY
Past
September 22, 2008 - September 21, 2023
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
November 10, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 24, 2004 - December 9, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 13, 1997 - June 4, 2004
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
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.
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(9/5/2023)
RR
Alaska(9/5/2023)
RR
Arizona(9/5/2023)
RR
Arkansas(9/5/2023)
RR
California(9/5/2023)
RR
Colorado(9/5/2023)
RR
Connecticut(9/5/2023)
RR
Delaware(9/5/2023)
RR
District of Columbia(9/5/2023)
RR
Florida(9/5/2023)
RR
Georgia(9/5/2023)
RR
Hawaii(9/5/2023)
RR
Idaho(9/5/2023)
RR
Illinois(9/5/2023)
RR
Indiana(9/5/2023)
RR
Iowa(9/5/2023)
RR
Kansas(9/5/2023)
RR
Kentucky(9/5/2023)
RR
Louisiana(9/5/2023)
RR
Maine(9/5/2023)
RR
Maryland(9/5/2023)
RR
Massachusetts(9/5/2023)
RR
Michigan(9/5/2023)
RR
Minnesota(9/5/2023)
RR
Mississippi(9/5/2023)
RR
Missouri(9/5/2023)
RR
Montana(9/5/2023)
RR
Nebraska(9/5/2023)
RR
Nevada(9/5/2023)
RR
New Hampshire(9/5/2023)
RR
New Jersey(9/5/2023)
RR
New Mexico(9/5/2023)
RR
New York(9/5/2023)
RR
North Carolina(9/5/2023)
RR
North Dakota(9/5/2023)
RR
Ohio(9/5/2023)
RR
Oklahoma(9/5/2023)
RR
Oregon(9/5/2023)
RR
Pennsylvania(9/5/2023)
RR
Puerto Rico(9/5/2023)
RR
Rhode Island(9/5/2023)
RR
South Carolina(9/5/2023)
RR
South Dakota(9/5/2023)
RR
Tennessee(9/5/2023)
RR
Texas(9/5/2023)
RR
Utah(9/5/2023)
RR
Vermont(9/5/2023)
RR
Virgin Islands(9/5/2023)
RR
Virginia(9/5/2023)
RR
Washington(9/5/2023)
RR
West Virginia(9/5/2023)
RR
Wisconsin(9/5/2023)
RR
Wyoming(9/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral 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.
