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Steven Smith

Robert W. Baird & CO. Incorporated
29 Years of Experience
Louisville, KY
1 DisclosureBroker
View SEC Summary
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Steven Smith is a registered investment advisor at Robert W. Baird & CO. Incorporated, based in Louisville, KY, with 29 years of industry experience. Steven 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

4803 Olympia Park Plaza, 4th Floor Suite 4000, Louisville, KY, 40241

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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
July 2008
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Robert W. Baird & CO. IncorporatedBroker
October 2019 - Present · 7 yrs
Robert W. Baird & CO. Incorporated
October 2019 - Present · 7 yrs
Previous Registrations
J.J.B. Hilliard, W.L. Lyons, LLCBroker
May 2013 - October 2019 · 6 yrs 5 mos
J.J.B. Hilliard, W.L. Lyons, LLC
May 2013 - October 2019 · 6 yrs 5 mos
Raymond James Financial Services Advisors, INC
January 2009 - May 2013 · 4 yrs 4 mos
Raymond James Financial Services
June 2002 - January 2009 · 6 yrs 7 mos
Raymond James Financial Services, INC.Broker
February 2000 - May 2013 · 13 yrs 3 mos
J.C. Bradford & CO.Broker
October 1996 - March 2000 · 3 yrs 5 mos
State Registrations36 states
ALAZCACOCTDCFLGAIAIDILINKYLAMAMDMIMNMOMSNCNENJNMNVNYOHOKORPASCTNTXVAWAWI
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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