JW
James H. Wolfrom
ROBERT W. BAIRD & CO.
New York, NY 10036
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CRD#: 4308258
JW
Professional summary
James Hegan Wolfrom, who also goes by James Hagan Wolfrom, James Wolfrom, is a registered financial professional currently at ROBERT W. BAIRD & CO. INCORPORATED located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 25 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Hagan Wolfrom | James Wolfrom
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 James Hegan Wolfrom'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
November 9, 2015 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1155 Avenue Of The Americas 16th Floor, New York, NY 10036RIA
BD
CRD#: 8158
New York, NY
Past
October 5, 2011 - February 29, 2012
G-TRADE SERVICES LLC
BD
CRD#: 140314
NEW YORK, NY
Past
October 28, 2010 - November 12, 2015
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
Past
July 31, 2007 - October 28, 2010
G-TRADE SERVICES LLC
BD
CRD#: 140314
NEW YORK, NY
Past
April 8, 2002 - May 16, 2007
KV EXECUTION SERVICES LLC
BD
CRD#: 42093
NEW YORK, NY
Past
April 17, 2001 - April 8, 2002
LABRANCHE FINANCIAL SERVICES, LLC
BD
CRD#: 7432
NEW YORK, NY
Past
October 1, 2000 - April 8, 2002
BAY CREST PARTNERS, LLC
BD
CRD#: 39944
NEW YORK, NY
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
California(11/18/2015)
RR
Colorado(11/18/2015)
RR
Connecticut(11/18/2015)
RR
Georgia(11/18/2015)
RR
Illinois(11/18/2015)
RR
Massachusetts(11/18/2015)
RR
New York(11/9/2015)
RR
North Carolina(11/19/2015)
RR
Rhode Island(11/18/2015)
RR
Texas(11/18/2015)
RR
Wisconsin(11/18/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/21/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 10/17/2000
NYSE Trading Assistant ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
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.
