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James Hodges

Robert W. Baird & CO. Incorporated
51 Years of Experience
Towson, MD
3 DisclosuresBroker
View SEC Summary
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James Hodges is a registered investment advisor at Robert W. Baird & CO. Incorporated, based in Towson, MD, with 51 years of industry experience. James 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

100 West Road, Suite 200, Towson, MD, 21204

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History

Regulatory History (3)
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.
Regulatory
July 1989
Final
Regulatory
August 1984
Final
Customer Dispute
August 1984
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Robert W. Baird & CO. Incorporated
March 2009 - Present · 17 yrs 7 mos
Robert W. Baird & CO. IncorporatedBroker
March 2009 - Present · 17 yrs 7 mos
Previous Registrations
Citigroup Global Markets INC.
February 2006 - April 2009 · 3 yrs 2 mos
Citigroup Global Markets INC.Broker
February 2006 - April 2009 · 3 yrs 2 mos
Legg Mason Wood Walker INC
March 1991 - February 2006 · 14 yrs 11 mos
Legg Mason Wood Walker, IncorporatedBroker
March 1989 - February 2006 · 16 yrs 11 mos
Prudential-Bache Securities INC.Broker
September 1977 - April 1989 · 11 yrs 7 mos
Bache Halsey Stuart INC.Broker
August 1976 - September 1977 · 1 yr 1 mo
Bache & CO IncorporatedBroker
February 1976 - August 1976 · 6 mos
Bache & CO., IncorporatedBroker
July 1975 - February 1976 · 7 mos
State Registrations31 states
ALAZCACOCTDCDEFLGAIDILINLAMAMDMEMINCNHNJNYOHPAPRSCTNTXVAWAWIWV
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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