Michael C. Moore
ROBERT W. BAIRD & CO.
Denver, CO 80206
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CRD#: 6612985
Professional summary
Michael Chase Moore, CFP® is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Denver, Colorado.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 4 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. Cherry Creek Chamber of Commerce - Young Professional Advisory Board President // non-investment related // 100 Fillmore Street, Denver, CO 80206 // Non Profit // Start Date: 01/01/2018 // One hour per week // No hours during securities trading. // As President of the Young Professional Group within the Chamber of Commerce, my primary responsibilities include event planning, social awareness, and reporting to the primary board of directors.
2. Colorado Judicial Institute - Young Professional Board Member // non-investment related // P.O Box 118, Broomfield, CO 80038 // Non Profit & Educational // Start Date: 06/01/2018 // 2-3 hours per month // No hours during securities trading. // As a board member, my primary responsibility is to help grow awareness of the Colorado Judicial institute and it's young member organization.
3. Juggernaut Cargo Bikes - Board Member // non-investment related // No Physical Address // Private Company // Start Date: 06/01/2018 // 2-3 hours per month // No hours during securities trading. // As an advisory board member of Juggernaut Cargo bikes, my primary responsibilities include acting in a consultative role to help the business grow, get connected to additional resources, and to succeed.
4. Wish for Wheels - Volunteer // non-investment related // 8101 E. Prentice Ave., Suite 800, Greenwood Village, CO 80111 // non-profit, charitable, civic engagement // Start Date: 01/01/2017 // 4 hours per year // No hours during securities trading. // I donate money to buy and then build bicycles for at risk youth within the Denver metro area.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Chase Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Chase Moore'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: 2021
Experience
Current
September 24, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 210 University Boulevard Ste 800, Denver, CO 80206RIA
BD
CRD#: 8158
Denver, CO
Current
September 24, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 210 University Boulevard Ste 800, Denver, CO 80206RIA
BD
CRD#: 8158
Denver, CO
Past
November 29, 2017 - October 5, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
DENVER, CO
Past
October 31, 2016 - September 24, 2018
TRILOGY CAPITAL, INC.
RIA
CRD#: 281597
Denver, CO
Past
September 16, 2016 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
DENVER, CO
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(9/24/2018)
RR
California(9/24/2018)
RR
Colorado(9/24/2018)
IAR
Colorado(9/24/2018)
RR
Florida(9/24/2018)
IAR
Florida(9/25/2018)
RR
Georgia(9/24/2018)
RR
Idaho(3/26/2025)
RR
Illinois(9/24/2018)
RR
Indiana(11/28/2023)
RR
Kansas(9/24/2018)
RR
Massachusetts(9/24/2018)
RR
Michigan(9/24/2018)
RR
Minnesota(12/13/2022)
RR
Missouri(9/24/2018)
RR
Montana(5/31/2023)
RR
Nebraska(10/19/2021)
RR
New Mexico(4/5/2022)
RR
New York(12/26/2024)
RR
North Carolina(1/28/2020)
RR
Ohio(12/23/2019)
RR
Oklahoma(5/10/2019)
RR
South Carolina(11/10/2021)
RR
Tennessee(9/24/2018)
RR
Texas(9/24/2018)
IAR
Texas(9/24/2018)
RR
Washington(9/24/2018)
RR
Wisconsin(9/24/2018)
RR
Wyoming(8/3/2023)
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.
