Susan G. Palombo
ROBERT W. BAIRD & CO.
FORT WORTH, TX 76107
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CRD#: 6048893
Professional summary
Susan Grant Palombo, CFP®, CIMA®, CPWA® is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Fort Worth, Texas.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Susan has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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)FOR-PROFIT ORGANIZATIONGRANT & PALOMBO MARKETING SERVICES, INC.-1380 FRENCH CREEK DRIVE-WAYZATA-MINNESOTA55391-NN-0-ANNUALLY-0-7/1/1991-OFFICER--THIS IS A BUSINESS THAT HAS NOT BEEN ACTIVE IN TERMS OF REVENUE FOR MANY YEARS. IT IS IN THE PROCESS OF BEING CLOSED.- I*85368 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: JEREMIAH PROGRAM INVESTMENT RELATED: N ADDRESS OF BUSINESS: AUSTIN, TEXAS 78763 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 42036 NUMBER OF HOURS DEVOTED: 8 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2 DUTIES: SERVE ON FUNDRAISING COMMITTEE FOR THE AUSTIN, TX DIVISION OF JEREMIAH PROGRAM I*89423 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: IMPACT AUSTIN INVESTMENT RELATED: N ADDRESS OF BUSINESS: AUSTIN, TEXAS 78755 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/11/2016 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 5 DUTIES: SERVICE ON FOCUS AREA COMMITTEE--FAMILY--TO HELP NARROW THE NON-PROFIT CANDIDATES TO PUT ON A VOTING SLATE FOR THE MEMBERSHIP OF THE IMPACT AUSTIN COLLECTIVE GIVING ORGANIZATION. I*96881 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: OIL AND GAS ROYALTY INCOME INVESTMENT RELATED: N ADDRESS OF BUSINESS: AUSTIN, TEXAS 78701 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 8/1/2010 NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PASSIVE INCOME RECEIPT FROM OIL AND GAS I*113042 For profit or not for profit: Non-Profit Organization Name of outside business organization: Impact Austin Investment related: N Address of business: Austin, Texas 78755 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 3/15/2018 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 5 Duties: Impact Austin is awomen's collective giving 501(c) 3 In this role fo Vice president--duties are: o expected to serve in a president-elect role Work closely with the President to ensure a smooth transition
CRS (Client Relationship Summary) - RIA
Click below to view Susan Grant Palombo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susan Grant Palombo'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: 2014
CPWA®
Start date: 2017-10-06
Expire date: 2023-10-31
Experience
Current
November 30, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 550 Bailey Avenue Suite 700, Fort Worth, TX 76107RIA
BD
CRD#: 8158
FORT WORTH, TX
Current
November 30, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 550 Bailey Avenue Suite 700, Fort Worth, TX 76107RIA
BD
CRD#: 8158
FORT WORTH, TX
Past
June 14, 2012 - December 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AUSTIN, TX
Past
May 18, 2012 - December 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AUSTIN, TX
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(9/14/2021)
RR
California(11/30/2020)
RR
Colorado(11/30/2020)
RR
Florida(11/30/2020)
RR
Georgia(6/24/2021)
RR
Idaho(11/30/2020)
RR
Illinois(2/8/2023)
RR
Maryland(11/30/2020)
RR
Massachusetts(11/30/2020)
RR
Minnesota(11/30/2020)
RR
Nevada(6/17/2025)
RR
New Mexico(11/30/2020)
RR
New York(11/30/2020)
RR
North Carolina(11/30/2020)
RR
Oklahoma(11/30/2020)
RR
Oregon(11/30/2020)
RR
Pennsylvania(11/30/2020)
RR
Tennessee(3/22/2023)
RR
Texas(11/30/2020)
IAR
Texas(11/30/2020)
RR
Utah(3/16/2023)
RR
Washington(11/30/2020)
RR
Wisconsin(11/30/2020)
RR
Wyoming(11/30/2020)
Exams
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.
