Important Disclosures


Account Information

Baird has prepared the information below to help inform clients of important information relating to their account at Baird. A Baird Financial Advisor can answer any additional question related to your Baird account.

Annual Disclosure Notice
Baird OnLine Viewing Agreement
Dividend Reinvestment Program Brochure
Electronic Funds Transfer Services and Cash Management Program Debit Card
Extended Hours Trading Risk
IRA Clients – Notice of Approval
Insured Money Market Account Information
International Disclosures
Margin Account Facts and Disclosures
Options Level Descriptions for Accounts at Baird
Private Investment Management (Commission-Based Pricing) Disclosure
Routing of Equity Orders
Safety of Client Assets
Schedule of Fees and Services Charges
Supplemental Information
Terms and Conditions for Use of this Web Site
Understanding Check 21 

Product Information

Baird offers clients a variety of investment services. Before making an investment, clients should understand the characteristics and risks associated with a particular investment product. Baird has prepared the information below to help inform clients of those risks and characteristics. A Baird Financial Advisor can further explain the features, characteristics, and risks of any particular security under consideration for your account.


Important Information About:

Annuities
Auction Rate Securities
Bonds in the Lowest Investment Grade Category
Business Development Companies
Callable Security Lotteries at Baird
Certificate of Deposit Disclosure
Closed End Funds and UITs
Exchange Traded Products
Fixed-Income Securities Featuring a Survivor's Option (or "Death Put")
Foreign Account Tax Compliance Act
Foreign Transaction Taxes
Fund of Hedge Funds
Hedge Funds
Investing in Bonds
Investment Managers’ Placement of Client Trade Orders and Their “Trade Away” Practices
IPOs
Leveraged and Inverse Funds
Managed Futures
MLPs
Municipal Bonds
Mutual Funds: Disclosure | Investing
Non-Exchange Traded Equity Securities
Non-Rated, Split-Rated, and Below Investment Grade Securities
Private Equity Funds
REITs
Rollover IRAs
Structured Products
Variable Rate Demand Notes


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International Disclosures

Baird Europe
Robert W Baird Limited and Baird Capital Partners Europe Limited are authorised and regulated in the United Kingdom by the Financial Conduct Authority (registered numbers are 124308 and 150154 respectively). Robert W Baird Limited and Baird Capital Partners Europe Limited have approved this information for distribution in the UK and Europe. Clients should seek their own advice on any matters pertaining to information on this Web site.

Robert W. Baird Limited
Registered Office: Finsbury Circus House, 15 Finsbury Circus, London EC2M 7EB
Tel: +44 20 7488 1212
Fax: +44 20 7481 3911
VAT number 397 1523 28
Company number 1745463


Robert W. Baird GmbH

Neue Mainzer Strasse 28
D-60311 Frankfurt am Main
Germany
Tel: +49 69 130 149 10
Fax: +49 69 130 149 11

Baird Capital Partners Europe Limited
Registered Office: Finsbury Circus House, 15 Finsbury Circus, London EC2M 7EB
Tel: +44 20 7667 8400
Fax: +44 20 7667 8481
VAT number 397 1523 28
Company number 3024884

Baird Asia

Baird Asia Advisors Limited - Shanghai Representative Office
Rm 42-022, 42/F, Hang Seng Bank Tower
No.1000 Lujiazui Ring Road
Pudong Shanghai 200120, China
Office: (86-021) 6182-0980
Fax: (86-021) 6841-0087

Baird Investment Advisor Co., Limited - Wholly Foreign Owned Enterprise
Rm 42-042, 42/F, Hang Seng Bank Tower
No.1000 Lujiazui Ring Road
Pudong Shanghai 200120, China
Office: (86-021) 6182-0980
Fax: (86-021) 6841-0087

Canada

Robert W. Baird & Co. Incorporated ("RWBCI") relies on the International Dealer Exemption pursuant to NI 31-103 in Alberta, British Columbia, Manitoba, Ontario and Quebec. Please note that (i) RWBCI is not registered in Canada; (ii) RWBCI 's jurisdiction of residence is the United States; (iii) RWBCI's assets may be situated outside of Canada; (iv) there may difficulty enforcing legal rights against RWBCI because of the aforementioned; and (v) the name and address of the agents for service of process of RWBCI are:

Alberta
152928 Canada Inc.,
c/o Strikeman Elliott LLP
4300 Bankers Hall
888-3rd Street S.W.
Calgary, Alberta T2P 5C5
Canada

British Columbia
152928 Canada Inc.
c/o Strikeman Elliott LLP
666 Burrard Street, Suite 1700, Park Place
Vancouver, British Columbia V6C 2X8
Canada

Manitoba
Aikins, MacAulay & Thorvaldson LLP
30th Floor Commodity Exchange Tower
360 Main Street
Winnipeg, Manitoba R3C 4G1
Canada

Ontario
152928 Canada Inc.
c/o Stikeman Elliott LLP
5300 Commerce Court West
199 Bay Street
Toronto, Ontario M5L 1B9
Canada

Quebec

152928 Canada Inc.
c/o Strikeman Elliott LLP
1155 Rene-Levesque Blvd., 40th Floor
Montreal, Quebec H3B 3V2
Canada

Australia
Robert W. Baird & Co. Incorporated ("RWBCI") and Robert W. Baird Limited "RWBL") do not hold Australian Financial Services (AFS) licenses and are exempt from the requirement to hold an AFS license under the Corporations Act 2001 in respect of the financial services it provides in Australia.. RWBCI is regulated by the Securities & Exchange Commission under US laws, and RWBL is regulated by the Financial Conduct Authority under UK laws, which differ from Australian

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