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CFP

Steve Heng

Robert W. Baird & CO. Incorporated
33 Years of Experience
Roseville, CA
1 DisclosureBroker
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Steve Heng is a CFP-designated registered investment advisor at Robert W. Baird & CO. Incorporated, based in Roseville, CA, with 33 years of industry experience. Steve 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
2611 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

1400 Rocky Ridge Drive, Suite 250, Roseville, CA, 95661

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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.
Employment Separation After Allegations
April 2020
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Employment History
Current Registrations
Robert W. Baird & CO. IncorporatedBroker
June 2020 - Present · 6 yrs 4 mos
Robert W. Baird & CO. Incorporated
June 2020 - Present · 6 yrs 4 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
June 2008 - May 2020 · 11 yrs 11 mos
Wells Fargo Clearing Services, LLC
June 2008 - May 2020 · 11 yrs 11 mos
Wells Fargo Investments, LLC
May 2001 - June 2008 · 7 yrs 1 mo
Wells Fargo Investments, LLCBroker
May 2001 - June 2008 · 7 yrs 1 mo
Wells Fargo Securities INC.Broker
June 1997 - May 2001 · 3 yrs 11 mos
Citicorp Investment ServicesBroker
May 1994 - June 1997 · 3 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1992 - April 1994 · 1 yr 7 mos
State Registrations29 states
AZCACODEFLHIIDILINLAMAMEMNMOMSNMNVNYOKORPASCTNTXUTVAWAWIWY
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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