Robert G. Doerr
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.
Robert Glenn Doerr was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2006 - May 24, 2016
ROBERT W. BAIRD & CO. INCORPORATED
February 25, 2004 - July 27, 2006
JANNEY MONTGOMERY SCOTT LLC
January 12, 2000 - March 2, 2004
GLEACHER & COMPANY SECURITIES, INC.
April 23, 1996 - December 15, 1999
R.W.PRESSPRICH & CO.
June 22, 1993 - June 13, 1996
ABN AMRO SECURITIES LLC
November 9, 1992 - May 13, 1993
SCHRODER & CO. INC.
October 11, 1991 - November 18, 1992
ABN AMRO SECURITIES LLC
September 15, 1989 - August 28, 1990
WHITEHILL CAPITAL, INC.
April 16, 1985 - August 3, 1989
THOMSON MCKINNON SECURITIES INC.
March 10, 1983 - April 25, 1985
PACIFIC CREST SECURITIES LLC
April 9, 1981 - May 17, 1985
BECKER PARIBAS INCORPORATED
March 17, 1980 - April 4, 1981
MOSELEY SECURITIES CORPORATION
February 21, 1980 - April 16, 1980
S & A REALIZATION CORP.
September 1, 1976 - November 26, 1979
STUART BROTHERS
Primary Firm SEC Registration
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
Contact information
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.
