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Eric Gaston

37 Years of Experience
Chicago, IL
1 DisclosureBroker

Eric Gaston is a registered investment advisor at Robert W. Baird & CO. Incorporated, based in Chicago, IL, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 228,442 clients with $340B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2566 advisors
Number of Clients
228,442 clients
Average Client Portfolio
$1.5M average
Assets Under Management
$342.1B

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.

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Location

227 West Monroe Street, Chicago, IL, 60606

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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
March 2013
Settled
Employment History
Current Registrations
Robert W. Baird & CO. Incorporated
June 2021 - Present · 5 yrs 1 mo
Robert W. Baird & CO. IncorporatedBroker
May 2021 - Present · 5 yrs 2 mos
Previous Registrations
TD Ameritrade, INC.
May 2018 - January 2021 · 2 yrs 8 mos
TD Ameritrade, INC.Broker
May 2018 - January 2021 · 2 yrs 8 mos
TD Ameritrade Investment Management, LLC
May 2018 - December 2020 · 2 yrs 7 mos
Strategic Advisers, INC.
May 2010 - July 2017 · 7 yrs 2 mos
Fidelity Brokerage Services LLCBroker
September 2004 - July 2017 · 12 yrs 10 mos
Charles Schwab & CO., INC.
March 1991 - August 2004 · 13 yrs 5 mos
Charles Schwab & CO., INC.Broker
October 1989 - August 2004 · 14 yrs 10 mos
Olde Discount CorporationBroker
August 1987 - October 1989 · 2 yrs 2 mos
State Registrations1 state
IL
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.
Eric Gaston - Financial Advisor | TrueAdvisor