WS
William L. Schaffler
ROBERT W. BAIRD & CO.
Dallas, TX 75225
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CRD#: 4362133
WS
Professional summary
William Leo Schaffler, CFP®, who also goes by Will Schaffler, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Dallas, Texas.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. William has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Will Schaffler
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) - RIA
Click below to view William Leo Schaffler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Leo Schaffler'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®
CFP®
Start date: 2013
Experience
Current
October 11, 2012 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 8333 Douglas Ave Ste 1000, Dallas, TX 75225RIA
BD
CRD#: 8158
Dallas, TX
Current
October 11, 2012 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 8333 Douglas Ave Ste 1000, Dallas, TX 75225RIA
BD
CRD#: 8158
Dallas, TX
Past
May 29, 2007 - October 23, 2012
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
FRISCO, TX
Past
May 29, 2007 - October 23, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
FRISCO, TX
Past
April 24, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
PLANO, TX
Past
April 5, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
PLANO, TX
Past
November 29, 2005 - April 3, 2006
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
PLANO, TX
Past
May 25, 2004 - April 3, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
April 20, 2004 - June 10, 2004
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
November 27, 2003 - February 23, 2004
ESSENTIAL SECURITIES, INC.
BD
CRD#: 122931
LAS VEGAS, NV
Past
April 8, 2003 - October 24, 2003
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
May 17, 2001 - October 28, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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
Arizona(6/11/2014)
RR
Arkansas(1/19/2016)
RR
California(10/11/2012)
RR
Colorado(1/19/2016)
RR
Connecticut(1/19/2016)
RR
Delaware(1/28/2016)
RR
District of Columbia(3/15/2017)
RR
Florida(12/17/2012)
IAR
Florida(9/17/2018)
RR
Georgia(2/3/2016)
RR
Hawaii(1/19/2016)
RR
Idaho(8/2/2018)
RR
Illinois(1/19/2016)
RR
Kansas(11/4/2015)
RR
Kentucky(10/11/2012)
RR
Louisiana(10/11/2012)
RR
Maryland(3/17/2015)
RR
Massachusetts(1/20/2016)
RR
Michigan(3/13/2020)
RR
Minnesota(9/15/2015)
RR
Mississippi(1/22/2016)
RR
Missouri(1/20/2016)
RR
Montana(1/19/2016)
RR
Nebraska(7/11/2024)
RR
New Jersey(6/18/2019)
RR
New Mexico(1/15/2016)
RR
New York(10/11/2012)
RR
North Carolina(1/20/2016)
RR
Ohio(10/11/2012)
RR
Oklahoma(10/11/2012)
RR
Pennsylvania(1/20/2016)
RR
Rhode Island(1/19/2016)
RR
South Carolina(4/3/2014)
RR
South Dakota(2/4/2016)
RR
Tennessee(2/19/2016)
RR
Texas(10/11/2012)
IAR
Texas(10/11/2012)
RR
Virginia(10/11/2012)
RR
Washington(1/28/2016)
RR
West Virginia(3/25/2020)
RR
Wisconsin(1/6/2022)
RR
Wyoming(10/8/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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#: 8158Dallas, TX 75225TRUST BUT VERIFY
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