WN
William B. Nicholson
ROBERT W. BAIRD & CO.
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 844436
WN
Professional summary
William Boyd Nicholson, who also goes by Bill Nicholson, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Chicago, Illinois.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. William has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Nicholson
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.
CRS (Client Relationship Summary) - RIA
Click below to view William Boyd Nicholson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Boyd Nicholson'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 14, 2002 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 227 West Monroe Street, Chicago, IL 60606RIA
BD
CRD#: 8158
Chicago, IL
Current
February 14, 2002 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 227 West Monroe Street, Chicago, IL 60606RIA
BD
CRD#: 8158
Chicago, IL
Past
August 21, 2000 - May 11, 2001
CREDIT SUISSE CAPITAL LLC
BD
CRD#: 103821
NEW YORK, NY
Past
June 28, 2000 - August 21, 2000
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
January 6, 1998 - June 29, 2000
CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.
BD
CRD#: 44054
DARIEN, CT
Past
September 19, 1997 - November 11, 1997
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
Past
February 16, 1994 - August 6, 1997
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
December 15, 1986 - February 16, 1994
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
August 16, 1985 - December 1, 1986
THE CHICAGO CORPORATION
BD
CRD#: 1449
Past
July 15, 1985 - August 2, 1985
THE CHICAGO CORPORATION
BD
CRD#: 1449
Past
September 2, 1980 - August 1, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
January 31, 1980 - October 2, 1980
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
October 26, 1977 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
BD
CRD#: 6361
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
Alabama(7/10/2017)
RR
Arizona(7/6/2017)
RR
California(7/6/2017)
RR
Florida(2/25/2013)
IAR
Florida(8/21/2018)
RR
Illinois(2/14/2002)
IAR
Illinois(4/16/2010)
RR
Indiana(1/3/2011)
RR
Kansas(5/14/2012)
RR
Maryland(9/8/2017)
RR
Massachusetts(5/17/2019)
RR
Michigan(1/25/2011)
RR
Missouri(2/14/2018)
RR
Nevada(7/11/2017)
RR
New York(11/22/2011)
RR
Ohio(7/6/2017)
RR
Oklahoma(7/15/2020)
RR
Oregon(10/7/2019)
RR
Pennsylvania(5/25/2022)
RR
Tennessee(6/10/2011)
RR
Texas(1/14/2011)
IAR
Texas(4/11/2017)
RR
Washington(2/26/2018)
RR
Wisconsin(2/14/2002)
IAR
Wisconsin(2/14/2002)
RR
Wyoming(12/8/2011)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
