Heather Rock
Heather Rock is a registered investment advisor at Robert W. Baird & CO. Incorporated, based in Seattle, WA, with 40 years of industry experience. Their practice areas include Investment Management. Their firm serves 228,442 clients with $340B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Baird offers several investment management programs, each with its own fee structure. Because the fees vary significantly depending on the program chosen, it is not possible to provide a single, concise fee summary. Clients should consult the full brochure or their financial advisor for details on specific programs.
Location
925 Fourth Ave Ste 3600, Seattle, WA, 98104
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Heather is a director/owner of Treen Corporation, a private company, dedicating minimal time to annual meetings. She is also an officer/trustee of the French American School of Puget Sound, an educational non-profit, spending a few hours per week. Heather is also an advisor/mentor for Waterlilly Caregiving Inc, spending minimal time.
Employment History
Current Registrations
Robert W. Baird & CO. IncorporatedBroker
Robert W. Baird & CO. Incorporated
Previous Registrations
Mcadams Wright Ragen, INC.
Mcadams Wright Ragen, INC.Broker
Sound Investment ServicesBroker
First Investors CorporationBroker
State Registrations23 states
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