JAMES G. GUIDERA
ROBERT W. BAIRD & CO. | PRINCIPAL
Baltimore, MD 21204
Some features on this profile are disabled
CRD#: 5002615
Professional summary
JAMES GERARD GUIDERA, who also goes by James Gerard Guidera, James Guidera, Jg Guidera, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Baltimore, Maryland.
JAMES is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. JAMES has worked at 7 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Biography
JG is a Principal in the Maryland office.
Prior to joining Cerity Partners, JG served as a Portfolio Manager at Maryland Capital Management (MCM) where he was responsible for managing individual high net worth client and institutional client accounts as well as leading distribution for their Platform and TAMP relationships. Additionally, he worked at Franklin Templeton/Legg Mason as a Regional Manager assisting Registered Investment Managers in the Mid-Atlantic. Before joining Legg Mason, JG began his career at Lord Abbett.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Gerard Guidera | James Guidera | Jg Guidera
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.
1. Roland Run Club; N; Timonium, MD; Swim Club; President of board of directors; 2018; 5 hours per month - no time during normal securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view JAMES GERARD GUIDERA's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view JAMES GERARD GUIDERA'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®
NoneEducation
Princeton University
A.B. - U.S History
Experience
Current
January 2, 2024 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 100 West Road Suite 200, Baltimore, MD 21204RIA
BD
CRD#: 8158
Baltimore, MD
Current
January 2, 2024 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 100 West Road Suite 200, Baltimore, MD 21204RIA
BD
CRD#: 8158
Baltimore, MD
Past
January 3, 2023 - October 18, 2023
CERITY PARTNERS LLC
RIA
CRD#: 151559
TOWSON, MD
Past
October 27, 2021 - March 3, 2023
MARYLAND CAPITAL MANAGEMENT, LLC
RIA
CRD#: 133329
Baltimore, MD
Past
December 16, 2014 - October 6, 2021
CLEARBRIDGE INVESTMENTS, LLC
RIA
CRD#: 137028
NEW YORK, NY
Past
December 16, 2014 - October 6, 2021
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
BALTIMORE, MD
Past
September 20, 2005 - October 7, 2014
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
August 24, 2005 - October 7, 2014
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
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(2/15/2024)
RR
Arizona(2/28/2024)
RR
California(2/16/2024)
RR
Connecticut(2/16/2024)
RR
Delaware(2/29/2024)
RR
District of Columbia(2/20/2024)
RR
Florida(2/16/2024)
RR
Georgia(2/19/2024)
RR
Indiana(2/18/2024)
RR
Kansas(2/15/2024)
RR
Louisiana(2/19/2024)
RR
Maine(2/20/2024)
IAR
Maryland(1/2/2024)
RR
Maryland(2/15/2024)
RR
Massachusetts(2/16/2024)
RR
Michigan(2/19/2024)
RR
Minnesota(2/15/2024)
RR
Missouri(2/20/2024)
RR
New Hampshire(2/16/2024)
RR
New Jersey(2/28/2024)
RR
New York(2/16/2024)
RR
North Carolina(2/19/2024)
RR
Ohio(2/16/2024)
RR
Oregon(2/16/2024)
RR
Pennsylvania(2/16/2024)
RR
Rhode Island(2/16/2024)
RR
South Carolina(2/22/2024)
RR
Texas(2/16/2024)
RR
Utah(2/16/2024)
RR
Virginia(2/16/2024)
RR
Washington(2/15/2024)
RR
West Virginia(2/23/2024)
RR
Wyoming(2/26/2024)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
