Amy J. Rice
ROBERT W. BAIRD & CO.
Greenwood, IN
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CRD#: 4366565
Professional summary
Amy Jo Rice, CFP®, who also goes by Amy Jo Hornbrook, Amy J Rice, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Greenwood, Indiana.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Amy has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy Jo Hornbrook | Amy J Rice
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.
Owner: Mow & More by Greg, LLC - lawn and landscaping services Start Date: 1/1/21 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Amy Jo Rice's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amy Jo Rice'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: 2022
Experience
Current
January 24, 2022 - Present
ROBERT W. BAIRD & CO. INCORPORATED
RIA
BD
CRD#: 8158
Greenwood, IN
Current
January 24, 2022 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 121 North Pete Ellis Drive Suite 101, Bloomington, IN 47408RIA
BD
CRD#: 8158
Bloomington, IN
Past
December 5, 2018 - February 7, 2022
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
INDIANAPOLIS, IN
Past
December 5, 2018 - February 7, 2022
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
July 30, 2018 - November 14, 2018
LINCOLN INVESTMENT
RIA
CRD#: 519
Carmel, IN
Past
July 30, 2018 - November 14, 2018
LINCOLN INVESTMENT
BD
CRD#: 519
Carmel, IN
Past
June 22, 2012 - April 9, 2018
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
INDIANAPOLIS, IN
Past
June 22, 2012 - April 9, 2018
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
October 6, 2010 - June 1, 2012
CITY SECURITIES CORPORATION
RIA
CRD#: 1459
INDIANAPOLIS, IN
Past
September 16, 2010 - June 1, 2012
CITY SECURITIES CORPORATION
BD
CRD#: 1459
INDIANAPOLIS, IN
Past
June 10, 2003 - July 20, 2006
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
INDIANAPOLIS, IN
Past
May 18, 2001 - June 10, 2003
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
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(6/2/2022)
RR
Arkansas(6/2/2022)
RR
California(6/2/2022)
RR
Colorado(6/2/2022)
RR
Connecticut(6/2/2022)
RR
Florida(6/2/2022)
IAR
Florida(8/1/2022)
RR
Georgia(6/2/2022)
RR
Illinois(6/2/2022)
RR
Indiana(1/24/2022)
IAR
Indiana(1/24/2022)
RR
Kentucky(6/2/2022)
RR
Maine(6/2/2022)
RR
Maryland(6/2/2022)
RR
Massachusetts(5/31/2023)
RR
Missouri(6/2/2022)
RR
Montana(6/2/2022)
RR
New Jersey(6/2/2022)
RR
New Mexico(6/2/2022)
RR
New York(6/2/2022)
RR
North Carolina(6/2/2022)
RR
Ohio(6/2/2022)
RR
Oregon(6/10/2025)
RR
Pennsylvania(1/29/2025)
RR
South Carolina(6/2/2022)
RR
Tennessee(6/2/2022)
RR
Texas(6/2/2022)
IAR
Texas(7/21/2022)
RR
Vermont(6/2/2022)
RR
Virginia(6/2/2022)
RR
Washington(6/2/2022)
RR
West Virginia(6/2/2022)
RR
Wisconsin(6/2/2022)
Exams
State Security Law Exam
State Security Law 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.
