Malcom L. Liles
ROBERT W. BAIRD & CO.
Nashville, TN 37203
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CRD#: 5936070
Professional summary
Malcom Leighton Liles, CFP®, CPWA®, who also goes by Leighton Liles, Malcolm Leighton Liles, Malcom L Liles, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Nashville, Tennessee.
Malcom is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Malcom has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leighton Liles | Malcolm Leighton Liles | Malcom L Liles
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) Stillschweigen & Co, LLC; Not investment-related; Address: 3500 Foxhall Rd, Nashville, TN 37215; Nature: LLC; Role: Owner; Start Date: 1/22/18; Appz hrs: O; Hrs during trading: 0; Duties: Provide outsourced financial management consulting. As of 2/28/18, I no longer provide any consulting services, but the LLC remains in existence. 2) Oak Hill School; Not investment-related; Address: 4815 Franklin Pike, Nashville, TN 37220; Nature: Educational; Role: Employee; Start Date: 02/2008; Appx hrs: 4 hours per week from march 1 to April 28; Hrs during trading: 0; Duties: Coaching 5 and 6 grade lacrosse 3)Entepfuhl Partners, LP; Not investment-related; 3506 Echo Hill Rd, Nashville, TN 37215; Nature: LLC; Role: Partner; Start Date: 05/2016; Appx hrs: 10 hours per quarter; Hrs during trading: 0; Duties: Entepfuhl Partners is an entity formed to own a hobby farm my family bought together. 4) ApolloMGA, LLC; Not investment-related; Address: PO Box 1629, Allen, TX; Nature: LLC; Role: Board Member for non-standard auto MGA; Start Date: 5/2015; Appx hrs: 6 hours per quarter; Hrs during trading: 3-6 hours per quarter; Duties: Provide oversight of Company governance and strategy. 5) Martha O'Bryan Center; Investment-related; Address: 711 South 7th Street, Nashville, TN 37206; Nature: Non-profit- Martha O Bryan Center is a not for profit that provides early learning and after school programming for underserved youth; Role: Member of finance committee and co-treasurer; Start Date: 6/2017; Appx hrs: 1 hour per month; Hrs during trading: 1 hour per month; Duties: Review monthly financial packages and annual budgets. Review financial policies and procedures Name/Address: The Westminster Presbyterian Church Legacy Fund 3900 West End Ave Nashville TN 37205 Start Date: 4/22/25 Hours Spent: 1-5 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member; Investment Finance Committee Investment Related Name/Address: Estate Planning Council of Middle Tennessee 3011 Armory Dr, Suite 190 Nashville TN 37209 Start Date: 7/1/24 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board President Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Malcom Leighton Liles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Malcom Leighton Liles'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: 2009
CPWA®
Start date: 2019-06-03
Expire date: 2023-05-31
Experience
Current
April 19, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1600 West End Ave, Suite 1100, Nashville, TN 37203RIA
BD
CRD#: 8158
Nashville, TN
Current
March 22, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1600 West End Ave, Suite 1100, Nashville, TN 37203RIA
BD
CRD#: 8158
Nashville, TN
Past
August 17, 2011 - October 19, 2015
ICA, LLC
BD
CRD#: 145235
NASHVILLE, 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.
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(6/21/2018)
RR
California(6/21/2018)
RR
Colorado(6/21/2018)
RR
Connecticut(3/15/2022)
RR
District of Columbia(6/21/2018)
RR
Florida(6/21/2018)
IAR
Florida(6/22/2018)
RR
Georgia(6/21/2018)
RR
Idaho(11/22/2023)
RR
Illinois(6/21/2018)
RR
Iowa(6/21/2018)
RR
Kentucky(6/21/2018)
RR
Louisiana(6/21/2018)
RR
Massachusetts(8/2/2021)
RR
Minnesota(4/20/2018)
RR
Mississippi(6/21/2018)
RR
Missouri(7/31/2025)
RR
Montana(3/1/2021)
RR
New York(6/21/2018)
RR
North Carolina(6/21/2018)
RR
Ohio(6/21/2018)
RR
Oklahoma(6/21/2018)
RR
Oregon(6/21/2018)
RR
Pennsylvania(6/21/2018)
RR
South Carolina(6/21/2018)
RR
Tennessee(4/17/2018)
IAR
Tennessee(4/19/2018)
RR
Texas(6/21/2018)
IAR
Texas(6/21/2018)
RR
Utah(10/27/2021)
RR
Virginia(6/21/2018)
RR
Washington(6/21/2018)
RR
West Virginia(6/21/2018)
Exams
State Security Law Exam
State Security Law 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.
