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Detailed Report
NICHOLAS JOHN GROFF
CRD#: 6092711
IA
Investment Adviser
B
Broker
ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 Muskego, WI
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - 2013 (<1 year)IAROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2015 - Present (9 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2014 - Present (10 years)
License(s)

State Registrations

B
Wisconsin 10/26/2015
IA
Wisconsin 10/26/2015

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158)
Muskego, WI
777 E. WISCONSIN AVENUE, MILWAUKEE, WI 53202-5391
Registered with this firm since 10/26/2015
B
ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158)
Muskego, WI
777 E. WISCONSIN AVENUE, MILWAUKEE, WI 53202
Registered with this firm since 10/29/2014
Previous Registration(s)
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B
 06/14/2013 - 07/24/2013 CABOT LODGE SECURITIES LLC (CRD#:159712) SCHAUMBURG, IL
B
 04/25/2013 - 07/08/2013 ALLIED BEACON PARTNERS, INC. (CRD#:46227)
FINRA expelled the firm on 12/19/2013
RICHMOND, VA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.