JW
Jason A. Walters
ROBERT W. BAIRD & CO.
Germantown, TN 38138
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CRD#: 4210977
JW
Professional summary
Jason A Walters, who also goes by Jason A. Walters, Jason Andrew Walters, Jason A Walters, is a registered financial professional currently at ROBERT W. BAIRD & CO. INCORPORATED located in Germantown, Tennessee.
Jason is registered as a RR (Registered Representative) and started their career in finance in 2000. Jason has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 7, Series 24 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jason A. Walters | Jason Andrew Walters | Jason A Walters
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.
CRS (Client Relationship Summary) - BD
Click below to view Jason A Walters'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 22, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 6815 Poplar Ave Suite 120 Lk, Germantown, TN 38138RIA
BD
CRD#: 8158
Germantown, TN
Past
August 17, 2018 - June 24, 2020
CANTOR FITZGERALD & CO.
BD
CRD#: 134
MEMPHIS, TN
Past
August 3, 2015 - August 27, 2018
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
MEMPHIS, TN
Past
April 3, 2012 - August 19, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
MEMPHIS, TN
Past
April 3, 2012 - August 19, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
MEMPHIS, TN
Past
February 13, 2009 - April 4, 2012
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
MEMPHIS, TN
Past
February 11, 2009 - April 4, 2012
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MEMPHIS, TN
Past
January 7, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GERMANTOWN, TN
Past
December 20, 2007 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GERMANTOWN, TN
Past
April 27, 2007 - November 19, 2007
TRUIST SECURITIES, INC.
BD
CRD#: 6271
MEMPHIS, TN
Past
January 23, 2004 - May 2, 2007
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
MEMPHIS, TN
Past
February 12, 2002 - May 2, 2007
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
August 22, 2000 - April 27, 2001
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
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.
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(6/22/2020)
RR
Arizona(3/28/2023)
RR
Arkansas(6/22/2020)
RR
California(6/22/2020)
RR
Colorado(6/22/2020)
RR
Florida(6/22/2020)
RR
Georgia(6/22/2020)
RR
Illinois(6/22/2020)
RR
Indiana(6/22/2020)
RR
Kentucky(3/28/2023)
RR
Maryland(6/22/2020)
RR
Michigan(6/22/2020)
RR
Minnesota(6/22/2020)
RR
Missouri(6/22/2020)
RR
New York(6/22/2020)
RR
North Carolina(6/22/2020)
RR
Ohio(6/22/2020)
RR
Oregon(6/22/2020)
RR
Pennsylvania(6/22/2020)
RR
Tennessee(6/22/2020)
RR
Texas(6/22/2020)
RR
Vermont(6/22/2020)
RR
Virginia(6/22/2020)
RR
West Virginia(6/22/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 8158Germantown, TN 38138TRUST BUT VERIFY
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