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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

ALLY ANN SHUMAN

Advisor at ROBERT W. BAIRD & CO. INCORPORATED

MINNETONKA, MN | EDINA, MN

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Search this name across graphsid dfx:ria:46c8f335-19d6-4022-1b3b-dfec67799770

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 23, 2007 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: Jul 23, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 12, 2007
First registration: Jul 23, 2007
Dual registered: yes, broker-dealer
Other names: ALLY ANN SHUMAN|SALLY A SHUMAN|SALLY A SHUMAN|SALLY ANN SHUMAN
IAPD individual key: 4453322

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	Oct 30, 2023	n/a	yes	EDINA, MN\|MINNETONKA, MN	Current employment
WELLS FARGO ADVISORS	Wirehouse	Mar 5, 2012	Nov 8, 2023	no	ST. LOUIS, MO\|DALLAS, TX\|DALLAS, TX\|OKLAHOMA CITY, OK\|DALLAS, TX\|SAINT LOUIS PARK, MN\|WAYZATA, MN\|WAYZATA, MN\|DULUTH, MN\|WAYZATA, MN\|WAYZATA, MN\|WAYZATA, MN	Previous registration
MANULIFE INVESTMENT MANAGEMENT (US) LLC	Asset manager	Aug 25, 2008	Mar 2, 2012	no	BOSTON, MA	Previous registration
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Asset manager	Aug 25, 2008	Dec 31, 2010	no	BOSTON, MA	Previous registration
RUSSELL INVESTMENTS	Asset manager	Jul 23, 2007	Aug 15, 2008	no	DALLAS, TX\|SEATTLE, WA	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 8, 2023	Oct 30, 2023	-9	Firm change	Wirehouse to RIA
MANULIFE INVESTMENT MANAGEMENT (US) LLC	WELLS FARGO ADVISORS	Mar 2, 2012	Mar 5, 2012	3	Firm change	Other
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	MANULIFE INVESTMENT MANAGEMENT (US) LLC	Dec 31, 2010	Aug 25, 2008	-858	Bulk transfer	Other
RUSSELL INVESTMENTS	JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Aug 15, 2008	Aug 25, 2008	10	Firm change	Other

Relationships

Registered with (5)

→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: current employment
Oct 30, 2023 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 5, 2012 to Nov 8, 2023factForm ADV
→ MANULIFE INVESTMENT MANAGEMENT (US) LLCRegistered adviserregistration: previous registration
Aug 25, 2008 to Mar 2, 2012factForm ADV
→ JOHN HANCOCK INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Aug 25, 2008 to Dec 31, 2010factForm ADV
→ RUSSELL INVESTMENTSRegistered adviserregistration: previous registration
Jul 23, 2007 to Aug 15, 2008factForm ADV

Dated events

Occurred
Nov 8, 2023
Advisor changed firm
Ally Ann Shuman left Wells Fargo Advisors for Robert W. Baird & Co. Incorporated (registered 2023-10-30)
Form ADVobserved 6 days ago