James Gerard Meredith
Professional Summary
James Gerard Meredith, who also goes by James G Meredith, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Pittsburgh, Pennsylvania. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. James has worked at 2 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 24, Series 27, F04 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Estate & Legacy Planning
- Risk Management & Insurance
- Financial Planning
- Investment Management
- Retirement Planning
Biography
With a long and storied career of helping his clients preserve and grow their wealth, Jim’s experience in working with individuals, affluent families, business leaders and non-profit organizations spans more than 50 years. Jim holds both a Certified Public Accountant (CPA) Certificate and a Personal Financial Specialist (PFS) designation from the American Institute of Certified Public Accountants. Jim is President of MASTERPLAN, Inc., Hefren-Tillotson’s parent company, and a member of Hefren-Tillotson’s Asset Management Group. When...
Other Aliases
James G Meredith
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
linkedin.com/in/xxxxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391Mailing Address
P.o. Box 672, Milwaukee, WI 53201Phone Number
(414) 765-3500Established
Wisconsin since 12/29/1919Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
4,322SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US 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 |
| LANGENFELD, JON A | CHIEF FINANCIAL OFFICER | 4322120 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| 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
367,123AUM (Assets Under Management)
$394,068,801,480Disclosures
Regulatory Event
44Arbitration
31Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2025 | Cover Page | Report |
| 10/24/2024 | Cover Page | Report |
| 11/15/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(6/24/2026)
(11/14/2022)
(10/26/2022)
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(10/21/2022)
(11/28/2022)
(10/28/2022)
(6/6/2023)
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(3/10/2023)
(5/12/2023)
(10/26/2022)
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(8/23/2023)
(10/28/2022)
(10/26/2022)
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(6/15/2023)
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(8/30/2023)
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(10/27/2022)
(10/21/2022)
(10/27/2022)
(10/21/2022)
(10/21/2022)
(11/1/2022)
(10/27/2022)
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(12/15/2022)
(10/27/2022)
(10/26/2022)
(10/27/2022)
(10/26/2022)
(10/27/2022)
(2/20/2025)
(1/6/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
F04 — Financial Principal Examination
Passed Aug 1978Series 40 — Registered Principal Examination
Passed Jun 1978SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Gerard Meredith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Gerard Meredith's CRS (Customer Relationship Summary).
Services Offered by James
- Estate & Legacy Planning
- Risk Management & Insurance
- Financial Planning
- Investment Management
- Retirement Planning
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