Jacob A. Duffy
ROBERT W. BAIRD & CO. | Managing Director and Financial Advisor
Scottsdale, AZ 85254
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CRD#: 4201708
Professional summary
Jacob Andrew Duffy is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Scottsdale, Arizona.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jacob has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Biography
Jacob is a Managing Director and Financial Advisor for the Duffy Group. Joining Baird in 2010, he brings 15 years of investment and portfolio management expertise on behalf of his clients.
Ever since Jacob was a teenager he has taken a keen interest in investing, talking business and stocks at the dinner table with his father, a financial advisor that’s been in the business most of his life. Jacob graduated from Washington State University in 2000, majoring in Finance and Insurance Risk Management. In 2001, he began his career in Pittsburgh, Pennsylvania at Federated Investors. Jacob moved to Scottsdale later that year and has remained there ever since. After Federated, Jacob spent much of his career at Smith Barney before moving to Baird in March 2010.
Jacob joined the Scottsdale Sunrise Rotary in 2015 and was elected President of the group in 2018. He also supports charitable organizations like the Children in Need Foundation, Support Arizona Youth, the Care Fund and the Injured Marine Fund. Jacob has been married to his wife Leslie for over 12 years and has a 3 year old son and 1 year old daughter. When Jake is not working or spending time with his family, he enjoys climbing Camelback Mountain and playing golf.
Question & Answer
What are your service offerings?
Insurance
Philanthropic services
Trading individual securities
Executive services/Equity comp...
Financial planning
Institutional consulting
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
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: BHHS Legacy Foundation 360 E Coronado Rd STE 100 Phoenix AZ 85004 Start Date: 4/22/21 Hours Spent: 0-1 hours/month Hours Spent during trading hours: Zero Role/Responsibility: Board Member/ Finance Committee Investment Related Name and Address: Rotary Clubs, Rotary International, Rotary Foundation of Evanston Illinois Start Date: 46/1/21 Hours Spent: 0-1 hours/month Hours Spent during trading hours: Zero Role/Responsibility: Board Member/ Finance Committee Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Andrew Duffy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacob Andrew Duffy'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
March 31, 2016 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 15211 N Kierland Blvd, Ste 300, Scottsdale, AZ 85254RIA
BD
CRD#: 8158
Scottsdale, AZ
Current
March 12, 2010 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 15211 N Kierland Blvd, Ste 300, Scottsdale, AZ 85254RIA
BD
CRD#: 8158
Scottsdale, AZ
Past
June 1, 2009 - April 8, 2010
MORGAN STANLEY
BD
CRD#: 149777
SCOTTSDALE, AZ
Past
May 20, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SCOTTSDALE, AZ
Past
October 16, 2003 - May 24, 2005
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
February 1, 2001 - October 16, 2003
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
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(9/28/2010)
RR
Alaska(4/27/2020)
RR
Arizona(3/12/2010)
IAR
Arizona(3/31/2016)
RR
Arkansas(3/2/2020)
RR
California(3/12/2010)
RR
Colorado(3/12/2010)
RR
Connecticut(12/13/2024)
RR
Delaware(5/13/2014)
RR
Florida(3/12/2010)
IAR
Florida(8/15/2018)
RR
Georgia(9/24/2021)
RR
Hawaii(3/12/2010)
RR
Idaho(1/4/2013)
RR
Illinois(3/12/2010)
RR
Indiana(3/12/2010)
RR
Iowa(8/20/2015)
RR
Kansas(1/16/2018)
RR
Kentucky(3/14/2018)
RR
Louisiana(10/3/2013)
RR
Maine(3/12/2010)
RR
Maryland(1/8/2013)
RR
Massachusetts(3/12/2010)
RR
Michigan(3/12/2010)
RR
Minnesota(3/12/2010)
RR
Mississippi(1/22/2014)
RR
Missouri(3/12/2010)
RR
Montana(3/31/2015)
RR
Nevada(3/12/2010)
RR
New Hampshire(5/31/2023)
RR
New Jersey(5/19/2014)
RR
New Mexico(3/12/2010)
RR
New York(3/12/2010)
RR
North Carolina(3/12/2010)
RR
Ohio(3/12/2010)
RR
Oregon(5/13/2014)
RR
Pennsylvania(1/8/2013)
RR
South Carolina(3/12/2010)
RR
South Dakota(5/2/2024)
RR
Tennessee(7/1/2016)
RR
Texas(3/12/2010)
IAR
Texas(11/15/2016)
RR
Utah(12/12/2013)
RR
Vermont(3/5/2021)
RR
Virginia(7/29/2019)
RR
Washington(3/12/2010)
RR
West Virginia(1/4/2013)
RR
Wisconsin(3/1/2011)
RR
Wyoming(5/12/2014)
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
Managing Director and Financial AdvisorCRD#: 8158Scottsdale, AZ 85254TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
