It is the policy of Robert W. Baird & Co. Incorporated ("Baird") to protect the privacy of our clients who share personal and financial information with us in the course of receiving financial services from Baird. We treat your information as confidential and recognize the importance of protecting access to it.
Categories of Information We Collect
Baird collects and maintains information about our clients so that we can evaluate their financial needs and provide a broad range of financial services. You may provide information to your Baird Representative or others at Baird when communicating with us in writing, electronically, or by phone.
For instance, we may collect the following personal information about you:
- Information we receive from you on account applications, agreements or other forms, such as your name, address, e-mail address, phone number, Social Security number, assets, income and date of birth
- Information about your transactions with us, our affiliates, or others, such as your account balance, positions and history
Depending on the products and/or services you require, information may also come from consumer reporting agencies and those providing services to us.
Protecting Your Privacy
We do not disclose any nonpublic information about our clients or former clients to anyone, except as requested or authorized by our clients, as necessary to process a transaction or service an account, as requested by regulatory authorities, or as otherwise permitted by law.
We may disclose information about you or your account with companies that perform administrative or marketing services for Baird, with investment advisors, with a research firm we have hired, or with a business partner (such as a bank, insurance company, or other financial institution) with whom we are developing or offering investment products or services. When we enter into such a relationship, our contracts restrict the companies' use of client information, requiring them to maintain the confidentiality of such information.
We also restrict access to nonpublic personal information about you to your Baird Representative and those Baird employees who need to know that information to provide investment products or services to you. We maintain physical, electronic, and procedural safeguards to protect your nonpublic personal information. If your Financial Advisor’s affiliation with Baird ends and they join a non-affiliated broker-dealer, your Financial Advisor may use limited information to contact you to move your account to their new firm. The information they may use is limited to your name, address, email address, phone number and account title.
You may have instructed Baird to share certain information with members of your Baird household or with other third parties. If you have given such instructions to Baird, you have the ability to revoke these instructions by contacting your Baird Financial Advisor.