TrueAdvisor
TrueAdvisor
SG
SG

Stephen Golliher

Robert W. Baird & CO. Incorporated
43 Years of Experience
Knoxville, TN
1 DisclosureBroker
View SEC Summary
View SEC Summary

Stephen Golliher is a registered investment advisor at Robert W. Baird & CO. Incorporated, based in Knoxville, TN, with 43 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 3 more. Their firm serves 241,359 clients with $390B in assets under management.

Robert W. Baird & CO. Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2620 advisors
Number of Clients
241,359 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$394.1B

Fee Structure

Investment management only (planning not offered)

Robert W. Baird & Co. charges an ongoing annual fee for portfolio management, which is bundled with trade execution and custody services as part of a wrap fee program. The specific fee amount depends on the chosen program, strategy, and the size of your portfolio, and is generally calculated as a percentage of the assets they manage for you. Additional costs may apply if managers execute trades away from Baird or if you utilize specialized overlay services.

View Full SEC Brochure

Location

1225 E Weisgarber Rd, Ste 150, Knoxville, TN, 37909

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 1999
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen rents out farmland and owns rental property, both since 2016. He spends minimal time on these non-investment related activities.

Employment History
Current Registrations
Robert W. Baird & CO. Incorporated
October 2019 - Present · 7 yrs
Robert W. Baird & CO. IncorporatedBroker
October 2019 - Present · 7 yrs
Previous Registrations
J.J.B. Hilliard, W.L. Lyons, LLC
March 2009 - October 2019 · 10 yrs 7 mos
J.J.B. Hilliard, W.L. Lyons, LLCBroker
March 2009 - October 2019 · 10 yrs 7 mos
Citigroup Global Markets INC.
April 2004 - April 2009 · 5 yrs
Citigroup Global Markets INC.Broker
July 1993 - April 2009 · 15 yrs 9 mos
Lehman Brothers INC.Broker
January 1983 - July 1993 · 10 yrs 6 mos
Capital Analysts, IncorporatedBroker
November 1982 - January 1983 · 2 mos
State Registrations45 states
ALARAZCACOCTDCDEFLGAHIIDILINKSKYLAMAMDMEMIMNMOMSMTNCNHNJNMNVNYOHOKORPASCSDTNTXUTVAWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Knoxville, TN →All financial advisors in Tennessee →