Thomas A. Lightner

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CRD#: 309564

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.

Thomas Alvin Lightner was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 5, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 15, 2007 - January 4, 2016

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

SCOTTSDALE, AZ

Past

October 12, 2007 - December 31, 2015

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

SCOTTSDALE, AZ

Past

August 12, 2006 - October 29, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BOZEMAN, MT

Past

August 12, 2006 - October 29, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BOZEMAN, MT

Past

May 8, 2003 - August 12, 2006

PIPER SANDLER & CO.

RIA

CRD#: 665

BOZEMAN, MT

Past

August 4, 1995 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

BOZEMAN, MT

Past

February 24, 1978 - August 21, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 10, 1973 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

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

CRD#: 8158 / SEC#: 801-7571, 8-497

RIA

Registered Investment Advisory firm - SEC (7/14/1971 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/24/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/15/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 12/12/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 2/6/1979

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 7/3/1973

Registered Representative Examination

Current Firm

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158 / SEC#: 801-7571, 8-497

RIA

Registered Investment Advisory firm - SEC (7/14/1971 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BAIRD PRIVATE ASSET MANAGEMENT - WRAP (3/21/2025)

BAIRD GENERATIONAL WEALTH GROUP - WRAP (3/21/2025)

BAIRD ADVISORS (3/21/2025)

BAIRD PRIVATE ASSET MANAGEMENT (3/21/2025)

BAIRD GENERATIONAL WEALTH GROUP (3/21/2025)

BAIRD INSTITUTIONAL EQUITY RESEARCH SERVICES (3/21/2025)

BAIRD EQUITY ASSET MANAGEMENT - CHAUTAUQUA CAPITAL MANAGEMENT (3/21/2025)

BAIRD FINANCIAL PLANNING SERVICES (3/21/2025)

BAIRD PRIVATE WEALTH MANAGEMENT (3/21/2025)

THE DDK GROUP - WRAP (3/21/2025)

THE DDK GROUP (3/21/2025)

BAIRD INSTITUTIONAL CONSULTING SERVICES (3/21/2025)

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	Cover Page	Report
11/15/2023	Cover Page	Report

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.

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Thomas A. Lightner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

Primary Firm SEC Registration

ROBERT W. BAIRD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2003

Series 63

Date: 12/15/1979

SIE

Date: 12/31/2015

Series 5

Date: 12/12/1981

PC

Date: 2/6/1979

Series 1

Date: 7/3/1973

Current Firm

ROBERT W. BAIRD & CO. INCORPORATED

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROBERT W. BAIRD & CO. INCORPORATED

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