Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elizabeth? Claim Your ProfileElizabeth Duggan is an Investment Advisor Representative with Robert W. Baird & Co. Inc., licensed in Iowa and Texas. Elizabeth has been in the industry since 2014 and has been registered with Robert W. Baird & Co. Inc. since 2023. Prior to joining Robert W. Baird & Co. Inc., Elizabeth was a registered representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Northwestern Mutual Investment Services, LLC. Elizabeth has a variety of experience and expertise in financial services, including portfolio management for individuals, businesses, investment companies and pooled investment vehicles. Elizabeth holds a Series 7, 6, 10, 9, 26 and 66 license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
See schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
IA
02/28/2023 - Present
Robert W. Baird & Co. Inc. (CEDAR RAPIDS IA)
IA
03/23/2020 - 02/28/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CEDAR RAPIDS IA)
IA
09/05/2014 - 12/06/2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Cedar Rapids IA)
BOTH
Issued 04/02/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/26/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/27/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/26/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/08/2016
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2016
Series 7 - General Securities Representative Examination
BC
Issued 09/05/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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