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John Allen

Robert W. Baird & CO. Incorporated
32 Years of Experience
Spokane, WA
1 DisclosureBroker
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John Allen is a registered investment advisor at Robert W. Baird & CO. Incorporated, based in Spokane, WA, with 32 years of industry experience. John 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

601 West Riverside, Suite 1710, Spokane, WA, 99201

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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
June 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John is part of a committee at Gonzaga Preparatory School that considers and recommends financial policies. He attends approximately 4 meetings per year, each lasting 1.5 hours, dedicating minimal time to this role.

Employment History
Current Registrations
Robert W. Baird & CO. Incorporated
November 2014 - Present · 11 yrs 11 mos
Robert W. Baird & CO. Incorporated
November 2014 - Present · 11 yrs 11 mos
Robert W. Baird & CO. IncorporatedBroker
November 2014 - Present · 11 yrs 11 mos
Previous Registrations
Mcadams Wright Ragen, INC.
July 2014 - November 2014 · 4 mos
Mcadams Wright Ragen, INC.Broker
May 2013 - November 2014 · 1 yr 6 mos
Partners Investment Network, INC.Broker
May 2001 - June 2013 · 12 yrs 1 mo
Wm Financial Services, INC.Broker
January 1995 - May 2001 · 6 yrs 4 mos
U.S. Bancorp SecuritiesBroker
April 1994 - January 1995 · 9 mos
State Registrations36 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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