MF
Matthew D. Fields
ROBERT W. BAIRD & CO.
Lake Oswego, OR 97035
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CRD#: 4005336
MF
Professional summary
Matthew David Fields is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Lake Oswego, Oregon.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Matthew has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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: BALTIC INVESTMENTS 31345 BRIARWOOD DRIVE SCAPPOOSE, OR 97056
NATURE OF ENTITY: LLC FORMED TO HOLD RENTAL PROPERTIES.
RESPONSIBILITIES IN THIS ROLE: OWN AND MANAGE RENTAL HOMES
HOURS DEVOTED: 1 HR/MO. NONE DURING SECURITIES TRADING HOURS.
NAME AND ADDRESS: ST. JAMES PROPERTIES, LLC 1571 OAK ST SE SALEM, OR 97301 SALEM, OR 97301
NATURE OF ENTITY: RENTAL PROPERTY
RESPONSIBILITIES IN THIS ROLE: N/A
HOURS DEVOTED: 1 HOUR PER MONTH. NONE DURING SECURITIES TRADING HOURS.
Name and Address: Atlantic Investments 31345 Briarwood Drive Scappoose, OR 97056
Nature of Entity: new llc to hold rental propertry
Responsibilities in this role: Owner
Hours Devoted: 1 hour/month
Name and Address: St. Charles Investments LLC 115 NW 1st Ave #400 Portland,OR
97209
Nature of Entity: LLC to holding rental property-fully managed. Not investment related
Start: 9/18
Responsibilities in this role: Owner
Hours Devoted: 1 hour/month, none during market hours
CRS (Client Relationship Summary) - RIA
Click below to view Matthew David Fields's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew David Fields'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
May 4, 2012 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 5400 Meadows Rd Ste 300, Lake Oswego, OR 97035RIA
BD
CRD#: 8158
Lake Oswego, OR
Current
May 4, 2012 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 5400 Meadows Rd Ste 300, Lake Oswego, OR 97035RIA
BD
CRD#: 8158
Lake Oswego, OR
Past
October 23, 2009 - May 7, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PORTLAND, OR
Past
October 23, 2009 - May 7, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PORTLAND, OR
Past
November 10, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
PORTLAND, OR
Past
November 28, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
PORTLAND, OR
Past
December 13, 1999 - December 1, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
October 1, 1999 - December 3, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 1, 1999 - December 3, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(9/6/2017)
RR
Arizona(5/3/2017)
RR
Arkansas(11/5/2025)
RR
California(5/4/2012)
IAR
California(5/4/2012)
RR
Colorado(5/4/2012)
RR
District of Columbia(10/9/2012)
RR
Florida(5/6/2015)
IAR
Florida(8/15/2018)
RR
Georgia(7/30/2024)
RR
Idaho(7/3/2017)
RR
Illinois(5/4/2012)
RR
Iowa(11/4/2024)
RR
Kansas(7/31/2025)
RR
Maine(1/14/2025)
RR
Maryland(5/4/2012)
RR
Massachusetts(10/13/2016)
RR
Minnesota(1/31/2020)
RR
Mississippi(7/3/2017)
RR
Missouri(4/24/2015)
RR
Montana(4/24/2015)
RR
Nevada(6/1/2016)
RR
New Jersey(3/4/2022)
RR
New York(5/4/2012)
RR
North Carolina(7/3/2017)
RR
North Dakota(10/2/2017)
RR
Ohio(12/17/2013)
RR
Oklahoma(10/21/2025)
RR
Oregon(5/4/2012)
IAR
Oregon(5/4/2012)
RR
Pennsylvania(7/3/2017)
RR
South Carolina(7/3/2017)
RR
Tennessee(6/16/2022)
RR
Texas(9/1/2015)
IAR
Texas(2/1/2017)
RR
Utah(2/1/2022)
RR
Virginia(10/21/2025)
RR
Washington(5/4/2012)
RR
West Virginia(7/3/2017)
RR
Wisconsin(5/22/2024)
RR
Wyoming(10/28/2022)
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.
