# EDGAR Filing Document

**Accession Number:** 0000009211
**File Stem:** 0000009211-23-000019
**Filing Date:** 2023-3
**Character Count:** 25539
**Document Hash:** f9ebac5d83457cebfd8f6ae3dbd09135
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000009211-23-000019.hdr.sgml**: 20230331

**ACCESSION NUMBER**: 0000009211-23-000019

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230330

**DATE AS OF CHANGE**: 20230331

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ROBERT W. BAIRD & CO. INCORPORATED
- **CENTRAL INDEX KEY:** 0000009211
- **IRS NUMBER:** 396037917
- **STATE OF INCORPORATION:** WI
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00134
- **FILM NUMBER:** 23783647

**BUSINESS ADDRESS:**
- **STREET 1:** 777 E. WISCONSIN AVENUE
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53202
- **BUSINESS PHONE:** 414-298-1779

**MAIL ADDRESS:**
- **STREET 1:** P.O. BOX 672
- **CITY:** MILWAUKEE
- **STATE:** WI
- **ZIP:** 53201

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ROBERT W. BAIRD & CO. Inc
- **DATE OF NAME CHANGE:** 20161216

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ROBERT W. BAIRD & CO. INCORPORATED
- **DATE OF NAME CHANGE:** 20150401

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ROBERT W. BAIRD & CO. Inc
- **DATE OF NAME CHANGE:** 20150317

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000009211

**Filer CCC:** XXXXXXXX

**Contact Name:** Charles M. Weber

**Contact Phone:** 414-298-2474

**Contact Email:** cmweber@rwbaird.com

**Notification Emails:** cmweber@rwbaird.com, lgamsky@rwbaird.com, mtraudt@rwbaird.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** ROBERT W. BAIRD & CO. INCORPORATED

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 8158

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**B. Doing-Business-As (DBA) Name:** Baird

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 39-6037917

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00120-00

- **Municipal Advisor:** SEC File No: 867-00134

- **Broker-Dealer:** SEC File No: 008-497, CRD No: 8158

- **SEC-Registered Investment Adviser:** SEC File No: 801-07571, CRD No: 8158

**E. Principal Office and Place of Business:** 777 E. WISCONSIN AVENUE, MILWAUKEE, WI, 53202

**Telephone Number:** 414-765-3500

**Additional Offices of Employment:**

- **Office #1 (Add):** 210 University Boulevard, Suite 800, Denver, CO, 80206 | Phone: 800-792-2473

- **Office #2 (Add):** 7755 3rd Street North, Suite 400, Oakdale, MN, 55128 | Phone: 800-792-2473

- **Office #3 (Add):** 1331 Lamar Street, Suite 1360, Houston, TX, 77010 | Phone: 800-711-6126

- **Office #4 (Add):** 500 W. Jefferson Street, Suite 2600, Louisville, KY, 40202 | Phone: 800-444-1854

- **Office #5 (Add):** 300 E. Fifth Avenue, Suite 200, Naperville, IL, 60563 | Phone: 800-686-4346

**Mailing Address is Different from Principal Office:** Yes

**Mailing Address:** PO BOX 672, Legal Dept - 18th Floor, MILWAUKEE, WI, 53201

**F. Website:** https://www.rwbaird.com

**G. Chief Compliance Officer (CCO):**

**Name:** Heather C Melzer

**Address:** 777 E. Wisconsin Avenue, Milwaukee, WI, 53202

**Phone Number:** 414-298-4973

**Email:** hmelzer@rwbaird.com

**H. Business Affiliates:**

- **Name:** Baird Insurance Services, Inc.

  - **Issuing Agency:** Wisconsin Office of the Commissioner of Insurance

  - **Jurisdiction:** WI

- **Name:** Baird Capital Partners Management Company V, LLC

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** DE

- **Name:** Baird Venture Partners Management Company I, L.L.C.

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** DE

- **Name:** Baird Venture Partners Management Company III, LLC

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** DE

- **Name:** Baird Venture Partners Management Company IV, LLC

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** DE

- **Name:** Baird Principal Group Management Company I, LLC

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** DE

- **Name:** Baird Principal Group Management Company II, LLC

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** DE

- **Name:** Baird Venture Partners Management Company V, LLC

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** DE

- **Name:** Baird Capital Global Fund Management I LP

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** DE

- **Name:** Baird Capital Global Fund Management II LLC

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** DE

- **Name:** Baird Financial Corporation

- **Name:** Baird Financial Group, Inc.

- **Name:** Baird Capital Management Company, LLC

  - **Issuing Agency:** Securities and Exchange Commission

  - **Jurisdiction:** DE

- **Name:** Baird Venture Partners GP VI, LLC

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** WI

**D. Date of Organization:** 12-27-1919

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 4071

**B. Municipal Advisory Activities - Employees:** 64

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 64

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 3

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 215

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses, Other

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection, Other

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Commodity pool operator, Commodity trading advisor, Trust Company, Insurance company or agency, Real estate broker or dealer, Sponsor or syndicator of limited partnerships, Insurance company or agency, Real estate broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Commodity pool operator, Sponsor or syndicator of limited partnerships, Pension consultant, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Sponsor or syndicator of limited partnerships, Trust Company, Investment Adviser, Commodity pool operator, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Commodity pool operator, Commodity trading advisor, Sponsor or syndicator of limited partnerships, Investment Adviser, Commodity pool operator, Commodity trading advisor, Sponsor or syndicator of limited partnerships, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Investment Adviser, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Investment Adviser

**Total Associated Persons:** 25

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** Yes

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** Yes

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                        | Title/Status                      | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Baird Financial Corporation | Shareholder                       | 12-31-1982      | E - 75% or more   | Yes               | 30-1289533   |  |
| Patrick Steven Lawton       | Director                          | 05-31-2004      | NA - less than 5% | Yes               |  | 1007318      |
| Michael John Schroeder      | Director                          | 05-31-2004      | NA - less than 5% | Yes               |  | 1483012      |
| Mary Ellen Stanek           | Director                          | 05-31-2004      | NA - less than 5% | Yes               |  | 2006493      |
| Steven Gregory Booth        | Chairman, President and CEO       | 01-01-2016      | NA - less than 5% | Yes               |  | 2147388      |
| Paul Lee Schultz            | General Counsel, Secretary        | 03-11-2013      | NA - less than 5% | Yes               |  | 1965163      |
| Terrance Patrick Maxwell    | Chief Financial Officer, Director | 03-10-2015      | NA - less than 5% | Yes               |  | 1463158      |
| Laura K Thurow              | Chief Operations Officer          | 07-18-2018      | NA - less than 5% | Yes               |  | 3193702      |
| Christa Lynn Graverson      | Chief Compliance Officer of Baird | 01-01-2022      | NA - less than 5% | Yes               |  | 4912961      |

### Schedule B: Indirect Owners

| Owning Entity               | Name                        | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Baird Financial Corporation | Baird Financial Group, Inc. | Shareholder    | 12-31-2020      | E - 75% or more  | Yes               | 80-0844225   |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity               | Name                        | Title/Status                      | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Baird Financial Corporation | Shareholder                       | 12-31-1982      | E - 75% or more   | Yes               | 30-1289533   |  |
|  | Indirect    | Baird Financial Corporation | Baird Financial Group, Inc. | Shareholder                       | 12-31-2020      | E - 75% or more   | Yes               | 80-0844225   |  |
|  | Direct      |  | Patrick Steven Lawton       | Director                          | 05-31-2004      | NA - less than 5% | Yes               |  | 1007318      |
|  | Direct      |  | Michael John Schroeder      | Director                          | 05-31-2004      | NA - less than 5% | Yes               |  | 1483012      |
|  | Direct      |  | Mary Ellen Stanek           | Director                          | 05-31-2004      | NA - less than 5% | Yes               |  | 2006493      |
|  | Direct      |  | Steven Gregory Booth        | Chairman, President and CEO       | 01-01-2016      | NA - less than 5% | Yes               |  | 2147388      |
|  | Direct      |  | Paul Lee Schultz            | General Counsel, Secretary        | 03-11-2013      | NA - less than 5% | Yes               |  | 1965163      |
|  | Direct      |  | Terrance Patrick Maxwell    | Chief Financial Officer, Director | 03-10-2015      | NA - less than 5% | Yes               |  | 1463158      |
|  | Direct      |  | Laura K Thurow              | Chief Operations Officer          | 07-18-2018      | NA - less than 5% | Yes               |  | 3193702      |
|  | Direct      |  | Christa Lynn Graverson      | Chief Compliance Officer of Baird | 01-01-2022      | NA - less than 5% | Yes               |  | 4912961      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8058

- **Disclosure Number:** 564739

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 568018

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 124672

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 124671

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 124670

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1683805

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1675034

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1670260

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1663562

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1587243

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1548844

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1542497

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1525274

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1516738

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1432103

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1381653

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1370219

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1122160

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1061684

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 564700

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 275239

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 272886

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 228624

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 182344

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 124674

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 124669

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 124668

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 124667

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 124666

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1719469

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1787423

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1877166

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1895791

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1898992

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1893465

  - **Associated Person:** Rolf Parker Griffith

  - **CRD Number:** 2200681

  - **Filed On (AP):** Form ADV/BD/U4 for Rolf Parker Griffith III

  - **Disclosure Number:** 1893407

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 1902139

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 2019931

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 2034694

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 2173872

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Robert W. Baird & Co. Incorporated

- **CRD Number:** 8158

- **Disclosure Number:** 2225548

### Execution Page

**Signature:** CHARLES M. WEBER

**Signer Name:** CHARLES M. WEBER

**Title:** DEPUTY GENERAL COUNSEL

**Date:** 03-30-2023

**CRD Number:** 5001057