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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

JOHN MICHAEL PENICHE

Advisor at ROBERT W. BAIRD & CO. INCORPORATED

Lynchburg, VA

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Search this name across graphsid dfx:ria:00285dfe-d42e-704e-fd36-b5257e43003a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 8, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ROBERT W. BAIRD & CO. INCORPORATED
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 30, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Dec 30, 1997
First registration: May 8, 1998
Dual registered: yes, broker-dealer
IAPD individual key: 2968358

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Nov 13, 2020	n/a	yes	Lynchburg, VA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Mar 4, 2011	Nov 16, 2020	no	ROANOKE, VA\|LYNCHBURG, VA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 18, 2011	no	LYNCHBURG, VA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2006	Jun 1, 2009	no	LYNCHBURG, VA\|NEW YORK, NY\|LYNCHBURG, VA	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	May 8, 1998	Feb 21, 2006	no	LYNCHBURG, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	ROBERT W. BAIRD & CO. INCORPORATED	Nov 16, 2020	Nov 13, 2020	-3	Firm change	Wirehouse to RIA
MORGAN STANLEY	WELLS FARGO ADVISORS	Mar 18, 2011	Mar 4, 2011	-14	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Feb 21, 2006	0	Bulk transfer	Other

Relationships

Registered with (5)

→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: current employment
Nov 13, 2020 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 4, 2011 to Nov 16, 2020factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 18, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 21, 2006 to Jun 1, 2009factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
May 8, 1998 to Feb 21, 2006factForm ADV

Dated events

No dated event names this entity yet.