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Expert Review

Douglas Mabie: Is He Charged by Clients? Revealing the Truth! (Update 2024)


Who is Douglas Mabie (CRD#: 1237710)?Everything you need to know about Douglas Mabie and their accolades

Douglas Mabie is a financial advisor based in Chicago, Illinois. Mabie is currently employed by Robert W. Baird & Co. Inc. They have been employed by Robert W. Baird & Co. Inc. for their complete career. Mabie holds Series 63 and Series 65 licenses, which qualify them as both a securities agent and an investment advisor representative, and can operate in Florida, Illinois, and Texas.


About Baird:History, achievements, leadership, lawsuits, & disputes

American global financial services and independent investing firm Baird. It is the main U.S. operating division of Baird, a global, employee-owned provider of financial services to individuals, corporations, institutional investors, and municipalities. Services include investment banking, capital markets, private equity, wealth management, and asset management.

One of the biggest privately held, full-service investment businesses in the United States, Baird has more than 4,500 personnel and offices in the US, Europe, and Asia. Over $355 billion in client assets are managed and supervised by Baird.

Robert W. Baird Group Ltd. is Baird’s main operational entity outside of the United States. Baird has an investment banking group and an operating subsidiary in Asia that supports its private equity businesses.


In Milwaukee, Wisconsin, Baird was established in 1919 as the securities division of the First Wisconsin National Bank, which is now a subsidiary of U.S. Bancorp. The company changed its name to The Securities Company of Milwaukee, Inc. in 1934 and became independent.

The company adopted Robert W. Baird as its name when it entered the New York Stock Exchange in 1948. Baird had been the firm’s first lead partner.

Northwestern Mutual Life held a controlling stake in Baird from 1982 to 2004. In 2004, Baird transformed into a wholly employee-owned financial services company. Its corporate offices are still in Milwaukee.


Private wealth management, asset management, investment banking/equity capital markets, fixed-income capital markets, and private equity make up Baird’s five business units.

Private wealth management

High-net-worth individuals and institutional clients can obtain financial guidance, planning ideas, and investments from Baird Financial Advisors, which also manages and looks after more than $235 billion in client assets.

Clients can take advantage of services including portfolio management, retirement planning, philanthropic gifting, and risk management from an internal team of investment research and other specialists. Additionally, the firm offers executives and corporate clients retirement plans, stock option exercise programs, hedging methods, and business transition planning.

More than 160 branch offices spread throughout 33 states are used by PWM to conduct business.

Asset management

Investors, such as high-net-worth individuals, corporations, foundations, public and private retirement plans, and other institutional clients, are served by equity and fixed-income money managers. Baird Public Investment Advisors was established in 2008 with the express purpose of advising and assisting public enterprises. More than $120 billion is being managed by Baird Advisors and Baird Equity Asset Management jointly.

Through Baird Funds, Baird provides mutual funds, including equities mutual funds managed by Baird Investment Management and fixed-income mutual funds managed by Baird Advisors.

Equity capital markets

The middle-market firms that the global investment banking team principally serves received advice in 2020 on approximately 200 financing and advisory transactions with a combined value of more than $70 billion. Institutional investors in North America, Europe, Asia, and Australia can also access Baird’s stock research thanks to expertise in equity sales and trading.

By 2020, Baird research experts will be offering specialized coverage for more than 725 stocks. According to Greenwich Associates’ annual survey of U.S. equity investors, Baird’s Sales and research skills routinely rank the company among the best Small/Mid-Cap Equity platforms.

What is FINRA? 

FINRA, which stands for the Financial Industry Regulatory Authority, is a government-approved organization responsible for protecting American investors. Its primary objective is to maintain fairness and integrity within the broker-dealer industry, promoting a safe and trustworthy environment for all market parties.

Fixed-income capital markets

The Public Finance team at Baird provides clients in the public, private, and nonprofit sectors with underwriting, advisory, consultant, and placement agent services through Fixed Income Capital Markets. According to Ipreo MuniAnalytics, Baird was the top municipal underwriter in the U.S. for the 12th consecutive year based on the volume of issues. According to Ipreo MuniAnalytics, Baird was also listed among the top five municipal consultants in the country in terms of the number of issues.

More than 135 sales, trading, and analytics specialists work for Baird’s fixed-income sales and trading business, which has offices all around the United States. Baird also keeps developing its expertise in crucial areas of the fixed-income market. Baird had its most successful year ever in terms of revenue, and their staff traded an average of $23.7 billion every month, up 21% from the previous year.

Private Equity

Through a network of alliances in the US, Europe, and Asia, Baird Capital invests in three distinct industrial areas through venture capital, growth equity, and buyout investments. In the United States, Baird Capital Partners invests in lower-middle-market businesses in the manufacturing, healthcare, and business services industries. In the fields of commercial services and the life sciences, Baird Venture Partners makes investments in early-stage and expansion-stage American businesses.

Operating in the UK, Baird Capital Partners Europe offers lower-middle market businesses change-of-control capital with a focus on business services, healthcare, and manufactured goods.

Baird Capital Partners Asia lends money to businesses with significant operations and room for expansion in China. Since the group’s founding in the late 1980s, Baird Capital and its affiliates have raised and managed $3.8 billion in capital and made investments in more than 325 portfolio businesses.

19/12/2023 Update
As of now, Douglas Mabie has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.

Douglas Mabie Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, litigation against Douglas Mabie

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.

FINRA’s BrokerCheck


SEC Litigations & Forms

Douglas Mabie

Source: Douglas Mabie – SEC Site Search Search Results


Douglas Mabie Lawsuits, Legal Battles, & DisputesActive database of all lawsuit documents (subject to availability) against Douglas Mabie

There might be more pending lawsuits against Douglas Mabie which are not listed on these directories. Lawsuit files are often deleted from online directories. So, if you cannot find any lawsuits against Douglas Mabie on these websites, you can contact the local authorities and check if they have a physical copy of any cases.


Douglas Mabie Complaints, Class Action Lawsuits & Legal BattlesRead all class action lawsuits and SEC complaints against Douglas Mabie (if available)

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Douglas Mabie using the websites down below:

You can contact the law firms mentioned above if facing issues with Douglas Mabie or any financial advisor.


Better Alternatives to Douglas Mabie (By Experts):Find the top 3 alternatives to Douglas Mabie

These recommendations are based on the ratings of, the biggest financial advisor review platform on the internet.
You can check out the top 10 financial advisors in the U.S. to learn more.
Screenshot 2023 05 23 at 11.26.30 PM

Manages Assets Worth

  • $714,587,898,072


  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors
  • Publication of periodicals

Manages Assets Worth

  • $173,418,270,044


  • Financial planning
  • Portfolio management
  • Portfolio assessment
Screenshot 2023 05 23 at 11.45.48 PM

Manages Assets Worth

  • $46,803,858,104


  • Portfolio management

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