Certain items in Part I of Form MA require additional information on Schedule D. Use this Schedule D to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.
This is an: INITIAL or AMENDED Schedule D or ANNUAL UPDATE
SECTION 1-B Other Names under which Municipal Advisor-Related Business is Conducted
List the applicant's other business names and the jurisdictions in which they are used. A separate Schedule D must be completed for each business name, and the jurisdictions where that name is used.
SECTION 1-D Additional Registrations of the Applicant
Indicate any additional registrations with federal or state regulators, and the relevant registration number. A separate Schedule D must be completed for each such registration.
SECTION 1-E Additional Offices at which the Applicant's Municipal Advisor-Related Business is Conducted
Provide the location of the largest five additional offices (in terms of numbers of employees) at which the applicant's municipal advisor-related business is conducted other than applicant's principal office and place of business. A separate Schedule D must be completed for each such office.
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
MICHIGAN �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
MINNESOTA �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
TEXAS �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
KENTUCKY �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
MICHIGAN �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
SECTION 1-F Additional Website Addresses
List any additional website addresses of the applicant. A separate Schedule D must be completed for each such website address.
SECTION 1-I Location of Books and Records
Complete the following information for each location at which the applicant keeps books and records, other than its principal office and place of business. A separate Schedule D must be completed for each location.
Select only one: AddDelete Amend
Name of entity where books and records are kept:
Refinitiv/London Stock Exchange Group
Street Address 1:
Street Address 2:
City:
State/Country:
WISCONSIN �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
Client information�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
Schwab Compliance Technologies Inc.
Street Address 1:
Street Address 2:
City:
State/Country:
ILLINOIS �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
Personal trading and other compliance records.�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
Broadridge Investor Communication Services
Street Address 1:
Street Address 2:
City:
State/Country:
NEW YORK �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
Proxy records for advisory accounts and client disclosure documents.�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
Iron Mountain
Street Address 1:
Street Address 2:
City:
State/Country:
WISCONSIN �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
Electronic files.�
SECTION 1-J Registration with Foreign Financial Regulatory Authorities
List the full name, in English, of each foreign financial regulatory authority, provide the foreign registration number (if any), and list the full name, in English, of the country with which the applicant is registered. A separate Schedule D must be completed for each foreign financial regulatory authority with whom the applicant is registered.
SECTION 1-K Business Affiliates of the Applicant
Provide the name of any domestic or foreign business affiliate of the applicant and any federal, state, or foreign registration of such affiliate and the registration number. A separate Schedule D must be completed for each such affiliate.
Name of Affiliate:
Baird Insurance Services, Inc.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
Baird Capital Partners Asia Management I Limited Partnership
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
801-69238
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
DELAWARE �
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
Baird Capital Partners Management Company V, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
801-69666
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
DELAWARE �
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
Baird Venture Partners Management Company I, L.L.C.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
801-57737
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
DELAWARE �
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
Baird Venture Partners Management Company III, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
801-68489
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
DELAWARE �
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
Baird Venture Partners Management Company IV, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
801-78609
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
DELAWARE �
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
Baird Principal Group Management Company I, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
801-105476
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
DELAWARE �
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
Baird Principal Group Management Company II, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
801-113194
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
DELAWARE �
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
Baird Venture Partners Management Company V, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
801-114317
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
DELAWARE �
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
Baird Capital Global Fund Management I LP
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
801-107887
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
CAYMAN ISLANDS �
Name of Affiliate:
Baird Capital Global Fund Management II LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission
(b) Registration No., if any:
801-119422
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
DELAWARE �
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
Baird Financial Corporation
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
Baird Financial Group, Inc.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
SECTION 3 Successions
Complete the following information if succeeding to the business of a currently-registered municipal advisor. If the applicant succeeded more than one municipal advisory firm in the succession being reported on this Form MA, a separate Schedule D must be completed for each predecessor firm. See Instruction 1 of the Specific Instructions for Certain Items in Form MA included in the General Instructions.
SECTION 4-D Firms and Other Persons that Solicit Municipal Advisor Clients on the Applicant's Behalf
Provide the name, address, and phone number of any firm or other person that is not otherwise an associated person of the applicant that solicits municipal advisor clients on the applicant's behalf. A separate Schedule D must be completed for each such firm or natural person.
SECTION 4-E Employees That Also Do Business Independently on the Applicant's Behalf as Affiliates of the Applicant
SECTION 5-B Description of Primary Business (for businesses not listed in Part A of Item 5)
If you checked Item 5-B.2 describe the applicant's primary business (not the applicant's municipal advisor-related business):
�
SECTION 6 Financial Industry and Other Activities of Associated Persons
The following information must be completed for each associated person in every category you checked in Item 6-A. A separate Schedule D must be completed for each such associated person.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Insurance Services, Inc.
Primary Business Name of Associated Person:
Baird Insurance Services, Inc.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Properties, LLC
Primary Business Name of Associated Person:
Baird Properties, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Capital Partners Europe Limited
Primary Business Name of Associated Person:
Baird Capital Partners Europe Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
United Kingdom - Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
150154
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Capital Partners Asia Management I Limited Partnership
Primary Business Name of Associated Person:
Baird Capital Partners Asia Management I Limited Partnership
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Capital Partners Management Company V, LLC
Primary Business Name of Associated Person:
Baird Capital Partners Management Company V, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Venture Partners Management Company I, L.L.C.
Primary Business Name of Associated Person:
Baird Venture Partners Management Company I, L.L.C.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Venture Partners Management Company III, LLC
Primary Business Name of Associated Person:
Baird Venture Partners Management Company III, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Venture Partners Management Company IV, LLC
Primary Business Name of Associated Person:
Baird Venture Partners Management Company IV, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Principal Group Management Company I, LLC
Primary Business Name of Associated Person:
Baird Principal Group Management Company I, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Robert W. Baird Limited
Primary Business Name of Associated Person:
Robert W. Baird Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
United Kingdom - Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
124308
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
Robert W. Baird GMBH
Primary Business Name of Associated Person:
Robert W. Baird GMBH
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Investment Advisors Co. Ltd.
Primary Business Name of Associated Person:
Baird Investment Advisors Co. Ltd.
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Capital Global Fund Management I LP
Primary Business Name of Associated Person:
Baird Capital Global Fund Management I LP
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
BFinance UK Limited
Primary Business Name of Associated Person:
BFinance UK Limited
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
United Kingdom - Financial Conduct Authority
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM �
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Venture Partners Management Company V, LLC
Primary Business Name of Associated Person:
Baird Venture Partners Management Company V, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Principal Group Management Company II, LLC
Primary Business Name of Associated Person:
Baird Principal Group Management Company II, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Trust Company
Primary Business Name of Associated Person:
Baird Trust Company
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Strategas Asset Management , LLC
Primary Business Name of Associated Person:
Strategas Asset Management, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
RiverFront Investment Group, LLC
Primary Business Name of Associated Person:
RiverFront Investment Group, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Strategas Securities, LLC
Primary Business Name of Associated Person:
Strategas Securities, LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Greenhouse Fund GP LLC
Primary Business Name of Associated Person:
Greenhouse Fund GP LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Greenhouse Funds LLLP
Primary Business Name of Associated Person:
Greenhouse Funds LLLP
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one: AddDelete Amend
Legal Name of Associated Person:
Baird Capital Global Fund Management II LLC
Primary Business Name of Associated Person:
Baird Capital Global Fund Management II LLC
A. Associated person is a: Check all that apply.
(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor
B. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant control or is it controlled by the associated person? Yes No
(b) Are the applicant and the associated person under common control? Yes No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the associated person registered with a foreign financial regulatory authority? Yes No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
SECTION 8 Control Persons (on a basis other than 25% ownership or executive officer status)
Section 8-A. A separate Schedule D must be completed for each control person not named in Item 1-A. or Schedules A, B, or C that directly or indirectly controls the applicant's management or policies.
Section 8-B. If any person named in Schedules A, B, or C or in Section 8-A of this Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934, provide the information below. A separate Schedule D must be completed for each public reporting company.
Schedule D: MISCELLANEOUS
The space below may be used to explain a response to an Item or to provide any other information.
Section 1-E Additional Offices at which the Applicant's Municipal Advisor-Related Business is Conducted, The following additional office is added: 300 E. Fifth Avenue, Suite 200, Naperville IL, 60563, Telephone Number: 800-686-4346 Fax Number: 630-848-6450 Section 1-I Location of Books and Records, The following two additional locations are added to Section 1-I, Name of entity: Global Relay Communications Inc. Address: 220 Cambie Street, 2nd Floor, Vancouver, BC, Canada V6B 2M9 Telephone number: 866-484-6630 This is a third-party unaffiliated record keeper. Brief description of books and records kept at this location: Emails are captured and retained in Global Relay. Name of entity: Salesforce Inc. Address: The Landmark @ One Market, Suite 300, San Francisco, CA, United States 94105 Telephone number: 415-901-7000 Fax number 415-901-7040 This is a third-party unaffiliated record keeper. Brief description of books and records kept at this location: Dates, financial statements, correspondence, etc. from issuers, bond counsel, underwriter's counsel to demonstrate compliance with SEC Rule 15c2-12.�
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
564739�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
568018�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
124672�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
124671�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
124670�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1683805�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1675034�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1670260�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1663562�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1587243�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1548844�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1542497�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1525274�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1516738�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1432103�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. baird & Co. Incorporated�
Name on Registration
CRD No123.
1381653�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. baird & Co. Incorporated�
Name on Registration
CRD No123.
1370219�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1122160�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1061684�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
564700�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. baird & Co. Incorporated�
Name on Registration
CRD No123.
275239�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
272886�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
228624�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
182344�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. baird & Co. Incorporated�
Name on Registration
CRD No123.
124674�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
124669�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. baird & Co. Incorporated�
Name on Registration
CRD No123.
124668�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
124667�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
124666�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1719469�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1787423�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1877166�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1895791�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1898992�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
�
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1893465�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Rolf Parker Griffith III�
Name on Registration
CRD No.
1893407�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
1902139�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
2019931�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
2034694�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Robert W. Baird & Co. Incorporated�
Name on Registration
CRD No123.
2173872�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing