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Richard P. Crawford

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CRD#: 822351
RC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Paul Crawford JR was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, PC and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 18, 2011 - December 31, 2016

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
SIOUX CITY, IA
Past

February 18, 2011 - December 31, 2016

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
SIOUX CITY, IA
Past

June 1, 2009 - February 28, 2011

MORGAN STANLEY

RIA
CRD#: 149777
SIOUX CITY, IA
Past

June 1, 2009 - February 28, 2011

MORGAN STANLEY

BD
CRD#: 149777
SIOUX CITY, IA
Past

October 16, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SIOUX CITY, IA
Past

March 23, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SIOUX CITY, IA
Past

March 2, 1998 - April 6, 2001

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

May 5, 1978 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

April 12, 1976 - May 5, 1978

DAIN, KALMAN & QUAIL, INCORPORATED

BD
CRD#: 202

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
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/2/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/15/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/16/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
PC
Date: 7/1/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 4/12/1976
General Securities Representative Examination

Current Firm

ROBERT W. BAIRD & CO. INCORPORATED
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BAIRD PRIVATE ASSET MANAGEMENT - WRAP (3/21/2025)
BAIRD GENERATIONAL WEALTH GROUP - WRAP (3/21/2025)
BAIRD ADVISORS (3/21/2025)
BAIRD PRIVATE ASSET MANAGEMENT (3/21/2025)
BAIRD GENERATIONAL WEALTH GROUP (3/21/2025)
BAIRD INSTITUTIONAL EQUITY RESEARCH SERVICES (3/21/2025)
BAIRD EQUITY ASSET MANAGEMENT - CHAUTAUQUA CAPITAL MANAGEMENT (3/21/2025)
BAIRD FINANCIAL PLANNING SERVICES (3/21/2025)
BAIRD PRIVATE WEALTH MANAGEMENT (3/21/2025)
THE DDK GROUP - WRAP (3/21/2025)
THE DDK GROUP (3/21/2025)
BAIRD INSTITUTIONAL CONSULTING SERVICES (3/21/2025)

Direct owners and executive officers

NamePositionCRD#
BAIRD FINANCIAL CORPORATIONSHAREHOLDER
BOOTH, STEVEN GREGORYCHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER2147388
DAHLBERG, ERIK CHARLESDIRECTOR1650544
GRAVERSON, CHRISTA LYNNCHIEF COMPLIANCE OFFICER4912961
LAWTON, PATRICK STEVENDIRECTOR1007318
MAXWELL, TERRANCE PATRICKCHIEF FINANCIAL OFFICER, DIRECTOR1463158
PALMER, ANGELA MARIEREGISTERED INVESTMENT ADVISOR CCO4915568
SCHROEDER, MICHAEL JOHNDIRECTOR1483012
SCHULTZ, PAUL LEEGENERAL COUNSEL, SECRETARY1965163
STANEK, MARY ELLENDIRECTOR2006493
THUROW, LAURA KCHIEF OPERATIONS OFFICER3193702

Regulatory assets under management

Total Number of Accounts350,776
AUM (Assets Under Management)$ 342,142,869,924

Disclosures

Regulatory Event43
Arbitration31

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/24/2024
Cover Page
Report
11/15/2023
Cover Page
Report

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.

Company Information

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

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