BR
Barton D. Rudolph
ROBERT W. BAIRD & CO.
Paducah, KY 42001
Some features on this profile are disabled
CRD#: 4161156
BR
Professional summary
Barton Drew Rudolph, who also goes by Bart D. Rudolph, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Paducah, Kentucky.
Barton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Barton has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bart D. Rudolph
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) FEEDLOT/CATTLE FARMING, NON-INVEST RELATED, KEVIL KY, OWNER, 1/2007, 80 HRS/MONTH AND 0 DURING TRADING HRS, DUITES INCLUDE FEED AND CARE FOR CATTLE. 2) RUDOLPH HOLDINGS COMPANY, LLC, OWNER, REAL ESTATE HOLDING COMPANY, MANAGEMENT OF PERSONAL HOLDINGS, START DATE 05/14/2018, 1 HR/MO, 0 HRS/MO TRADING. 3) CRAWFORD LAKE LLC, START DATE 03/01/2005, 13405 BROCKMAN ROAD, KEVIL, KY 42054, MEMBER OF HUNTING CLUB, NO DUTIES, 0 HRS/MO, 0 HRS/MO TRADING. 4)BART RUDOLPH FARMS, START DATE 04/15/2013, OWNER LIVESTOCK FEEDYARD, OVERSEE BUYING, FEEDING AND SELLING OF CATTLE, 5 HRS/MO , 0 HRS/MO TRADING. 5)TACTICAL HOLDINGS LLC, START DATE 06/20/2019, REAL ESTATE ACQUISITION, SELL AND RENTAL, 0 HRS/MO, 0 HRS/MO TRADING. 6) WALLER GROUP LLC, 20% OWNER, FAST FOOD RESTAURANT, NO RESPONSIBILITIES, START DATE 08/01/2019, 2532 JACKSON STREET, PADUCAH KY 42053, 0 HRS/MO,0 HRS/MO TRADING. 9) Three Amigos Enterprises LLC 12320 Grief Rd Kevil KY 42053 Start Date: 4/19/19 Hours spent: 12 hours/year Hours spent during trading Hours: Zero Role/Responsibility: LLC Manager. Three Amigos is an RV Park which produces rental income from the rent of camper and rv lots. DBA Cadiz RV Park Non Investment related 11) Gentle Shepherd Daycare 138 KY Ave Kevil KY 42053 Start date: 11/1/20 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member Non Investment Related Name/Address: Magic Carpet Aircraft Company LLC 12320 Grief Rd Kevil KY 42053 Start Date: 12/2/20 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner. Used for personal liability purposes. Non Investment Related Trigg Properties LLC 5080 State Rt# 45 South Mayfield KY 42053 Rental Property Start date: 2/1/20 Hours spent: Zero Hours spent during trading Hours: Zero Role/Responsibility: LLC established to hold property. Non Investment related Name/Address: Hays Feed Yard 1174 Feedlot Rd Hays KS 67601 Start Date: 5/8/22 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: Passive Investor Non Investment Related Name/Address: Bawlin' Calf Feeders 138 Kentucky Ave Kevil KY 42053 Start Date: 4/8/22 Hours Spent: 0-10 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Barton Drew Rudolph's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barton Drew Rudolph'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
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 4730 Village Square Drive, Suite 110, Paducah, KY 42001RIA
BD
CRD#: 8158
Paducah, KY
Current
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 4730 Village Square Drive, Suite 110, Paducah, KY 42001RIA
BD
CRD#: 8158
Paducah, KY
Past
February 6, 2009 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
KEVIL, KY
Past
February 6, 2009 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
KEVIL, KY
Past
August 16, 2006 - February 12, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
KEVIL, KY
Past
May 2, 2006 - February 12, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
KEVIL, KY
Past
January 2, 2003 - May 1, 2006
WOODMEN FINANCIAL SERVICES, INC.
BD
CRD#: 117365
OMAHA, NE
Past
July 24, 2000 - December 20, 2002
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOSTON, MA
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
Alabama(3/15/2021)
RR
Arizona(8/3/2022)
RR
Arkansas(10/18/2019)
RR
Florida(10/18/2019)
IAR
Florida(1/24/2022)
RR
Georgia(10/18/2019)
RR
Illinois(10/18/2019)
RR
Iowa(10/18/2019)
RR
Kentucky(10/18/2019)
IAR
Kentucky(10/18/2019)
RR
Louisiana(10/18/2019)
RR
Missouri(10/18/2019)
RR
Montana(12/2/2019)
RR
Nebraska(10/18/2019)
RR
New Hampshire(1/25/2021)
RR
New Jersey(10/18/2019)
RR
New York(10/18/2019)
RR
Pennsylvania(10/18/2019)
RR
Rhode Island(12/11/2023)
RR
South Carolina(10/18/2019)
RR
Tennessee(10/18/2019)
IAR
Texas(10/18/2019)
RR
Texas(10/7/2025)
RR
Utah(10/18/2019)
RR
Washington(1/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158Paducah, KY 42001TRUST BUT VERIFY
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