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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

JAMES PATRICK HARKINS

Advisor at ROBERT W. BAIRD & CO. INCORPORATED

Seattle, WA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 9, 2002 to Sep 15, 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: Sep 6, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Sep 6, 2002
First registration: Oct 9, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4570655

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	Seattle, WA\|Seattle, WA	Current employment
MCADAMS WRIGHT RAGEN, INC.	Former SEC adviser	Feb 17, 2012	Nov 7, 2014	no	SEATTLE, WA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 27, 2012	no	SEATTLE, WA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 9, 2002	Jun 1, 2009	no	SEATTLE, WA\|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
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.	Feb 27, 2012	Feb 17, 2012	-10	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: current employment
Nov 7, 2014 to presentfactForm ADV
→ MCADAMS WRIGHT RAGEN, INC.Registered adviserregistration: previous registration
Feb 17, 2012 to Nov 7, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 27, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 9, 2002 to Jun 1, 2009factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 14, 2026
James Patrick Harkins added a FL registration at Robert W. Baird & Co. Incorporated