JD
Jeffrey M. Daft
ROBERT W. BAIRD & CO.
Roseville, CA 95661
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CRD#: 830201
JD
Professional summary
Jeffrey Michael Daft is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Roseville, California.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Jeffrey has worked at 7 firms and has passed the Series 63, SIE, PC 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.
PARTNER IN DAFT PARTNERS. NAME AND ADDRESS OF OTHER BUSINESS: MCKINNEY LLC, 1441 LAGUNITA CT, SACRAMENTO, CA 95864 NATURE OF ENTITY: CABIN AT LAKE TAHOE OWNED JOINTLY BY MY BROTHER AND I. ROLE IN OTHER BUSINESS: PARTNER RESPONSIBILITIES IN THIS ROLE: MAKE MUTUAL DECISIONS ON THE BEST USE OF THE CABIN. HOURS DEVOTED TO OTHER BUSINESS: 5 HOURS PER YEAR. NONE DURING SECURITIES TRADING HOURS. Name/Address: Sacramento Dental Complex/Rental Property 2525 K Street Sacramento CA 95819 Start Date: 10/1/98 Hours Spent: 0-1 hours/month Hours Spent During Trading: Zero Role/Responsibility: LP Investor Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Michael Daft's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Michael Daft'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®
NoneExperience
Current
February 2, 2009 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1400 Rocky Ridge Drive Suite 250, Roseville, CA 95661RIA
BD
CRD#: 8158
Roseville, CA
Current
January 30, 2009 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 1400 Rocky Ridge Drive Suite 250, Roseville, CA 95661RIA
BD
CRD#: 8158
Roseville, CA
Past
May 12, 2003 - February 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FOLSOM, CA
Past
July 13, 2000 - February 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FOLSOM, CA
Past
July 31, 1993 - July 13, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 19, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 3, 1981 - July 13, 1990
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
August 22, 1979 - December 22, 1983
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
December 1, 1976 - September 30, 1979
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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(1/13/2016)
RR
California(2/2/2009)
IAR
California(2/2/2009)
RR
Idaho(1/14/2021)
RR
Indiana(8/15/2016)
RR
Nevada(9/24/2014)
RR
Utah(6/16/2020)
RR
Virginia(11/17/2010)
RR
Washington(2/3/2009)
RR
Wyoming(2/7/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/31/1977
AMEX Put and Call ExamGeneral 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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158Roseville, CA 95661TRUST BUT VERIFY
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