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Dale Flick

Robert W. Baird & CO. Incorporated
40 Years of Experience
Portland, OR
1 DisclosureBroker
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Dale Flick is a CFP-designated registered investment advisor at Robert W. Baird & CO. Incorporated, based in Portland, OR, with 40 years of industry experience. Dale 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.

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Location

Portland, OR

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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 2014
Denied
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Employment History
Current Registrations
Robert W. Baird & CO. IncorporatedBroker
November 2014 - Present · 11 yrs 11 mos
Robert W. Baird & CO. Incorporated
November 2014 - Present · 11 yrs 11 mos
Robert W. Baird & CO. Incorporated
November 2014 - Present · 11 yrs 11 mos
Previous Registrations
Mcadams Wright Ragen, INC.
January 2012 - November 2014 · 2 yrs 10 mos
Mcadams Wright Ragen, INC.Broker
January 2012 - November 2014 · 2 yrs 10 mos
Wells Fargo Advisors, LLCBroker
January 2011 - January 2012 · 1 yr
Wells Fargo Advisors, LLC
January 2011 - January 2012 · 1 yr
Wells Fargo Investments, LLC
February 2005 - January 2011 · 5 yrs 11 mos
Wells Fargo Investments, LLCBroker
February 2005 - January 2011 · 5 yrs 11 mos
Piper Jaffray & CO.Broker
November 1998 - February 2005 · 6 yrs 3 mos
U.S. Bancorp Investments, INC.Broker
September 1997 - November 1998 · 1 yr 2 mos
U.S. Bancorp SecuritiesBroker
May 1994 - September 1997 · 3 yrs 4 mos
Dain Bosworth IncorporatedBroker
January 1992 - May 1994 · 2 yrs 4 mos
Penn Mutual Equity Services, INC.Broker
July 1986 - February 1992 · 5 yrs 7 mos
State Registrations31 states
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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.
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