LL
Loren L. Law
ROBERT W. BAIRD & CO.
Minnetonka, MN 55305
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CRD#: 303876
LL
Professional summary
Loren Larry Law is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Minnetonka, Minnesota.
Loren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Loren has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 5, PC, Series 000, Series 1, Series 24, Series 9, Series 10, Series 4, Series 12 and Series 40 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.
NAME AND ADDRESS OF OTHER BUSINESS: OCEAN TREE CONDO BOARD, 3400 N OCEAN DRIVE, SINGER ISLAND, FL 33404
ROLE IN OUTSIDE BUSINESS: DIRECTOR
RESPONSIBILITIES IN THIS ROLE: BOARD MEETINGS
HOURS DEVOTED TO OTHER BUSINESS: 30 HOUR PER YEAR. NONE DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Loren Larry Law's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Loren Larry Law'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 27, 2008 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 601 Carlson Parkway Suite 950, Minnetonka, MN 55305RIA
BD
CRD#: 8158
Minnetonka, MN
Current
June 27, 2008 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 601 Carlson Parkway Suite 950, Minnetonka, MN 55305RIA
BD
CRD#: 8158
Minnetonka, MN
Past
August 12, 2006 - July 3, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MINNEAPOLIS, MN
Past
August 12, 2006 - July 3, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MINNEAPOLIS, MN
Past
October 18, 2002 - August 12, 2006
PIPER SANDLER & CO.
RIA
CRD#: 665
MINNEAPOLIS, MN
Past
February 27, 1989 - August 12, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
January 18, 1978 - June 25, 1979
LOEB PARTNERS
BD
CRD#: 7534
Past
May 5, 1976 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
BD
CRD#: 7394
Past
October 11, 1974 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
BD
CRD#: 412
Past
May 8, 1973 - November 3, 1974
HAYDEN STONE INC.
BD
CRD#: 6567
Past
May 11, 1972 - March 7, 1989
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
August 24, 1970 - June 4, 1973
DUPONT WALSTON, INCORPORATED
BD
CRD#: 870
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(5/13/2025)
RR
Arizona(6/27/2008)
RR
California(6/30/2008)
RR
Colorado(8/19/2015)
RR
Connecticut(10/5/2016)
RR
District of Columbia(5/6/2025)
RR
Florida(6/27/2008)
IAR
Florida(7/1/2008)
RR
Illinois(11/20/2014)
RR
Indiana(8/12/2015)
RR
Iowa(10/24/2016)
RR
Maine(10/21/2016)
RR
Massachusetts(10/13/2016)
RR
Michigan(2/16/2022)
RR
Minnesota(6/27/2008)
IAR
Minnesota(11/5/2013)
RR
Missouri(10/17/2016)
RR
Nebraska(1/23/2025)
RR
Nevada(10/11/2016)
RR
New Hampshire(4/25/2012)
RR
New Jersey(10/5/2016)
RR
New York(6/27/2008)
RR
North Dakota(10/26/2016)
RR
Ohio(5/1/2025)
RR
South Carolina(4/17/2025)
RR
South Dakota(6/13/2023)
RR
Texas(6/27/2008)
IAR
Texas(6/27/2008)
RR
Virginia(11/6/2025)
RR
Washington(10/11/2016)
RR
Wisconsin(6/27/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 8/30/1979
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 000
Date: 9/19/1968
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 9/19/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 5/11/1972
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 11/18/1971
Registered Principal ExaminationSRO 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.
