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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

JOHN DOUGLAS WARREN

Advisor at ROBERT W. BAIRD & CO. INCORPORATED

Yakima, WA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 25, 2003 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: Jun 15, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jun 15, 2000
First registration: Mar 25, 2003
Dual registered: yes, broker-dealer
Other names: DOUG WARREN
IAPD individual key: 3268192

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 7, 2014	n/a	yes	Yakima, WA	Current employment
MCADAMS WRIGHT RAGEN, INC.	Former SEC adviser	Aug 14, 2009	Nov 7, 2014	no	YAKIMA, WA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 4, 2009	no	Yakima, WA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 1, 2006	Jun 1, 2009	no	YAKIMA, WA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 16, 2005	Dec 7, 2006	no	YAKIMA, WA\|KENNEWICK, WA\|YAKIMA, WA	Previous registration
SUNSET FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 25, 2003	Sep 19, 2005	no	HERMISTON, OR	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
MCADAMS WRIGHT RAGEN, INC.	ROBERT W. BAIRD & CO. INCORPORATED	Nov 7, 2014	Nov 7, 2014	0	Bulk transfer	Other
MORGAN STANLEY	MCADAMS WRIGHT RAGEN, INC.	Sep 4, 2009	Aug 14, 2009	-21	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Dec 7, 2006	Dec 1, 2006	-6	Firm change	Other
SUNSET FINANCIAL SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 19, 2005	Sep 16, 2005	-3	Firm change	Other

Relationships

Registered with (6)

→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: current employment
Nov 7, 2014 to presentfactForm ADV
→ MCADAMS WRIGHT RAGEN, INC.Registered adviserregistration: previous registration
Aug 14, 2009 to Nov 7, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 4, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 1, 2006 to Jun 1, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 16, 2005 to Dec 7, 2006factForm ADV
→ SUNSET FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 25, 2003 to Sep 19, 2005factForm ADV

Dated events

No dated event names this entity yet.