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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Ann Ericson is an investment advisor representative with Robert W. Baird & Co. Inc. Carol Ann Ericson has been in the industry since November 26, 2000. Carol Ann Ericson holds the Series 7, Series 63, and Series 65 licenses. Carol Ann Ericson specializes in providing investment advice to individuals, businesses, and investment companies. Carol Ann Ericson is registered to provide investment advice in 40 states. Carol Ann Ericson is a dedicated professional with a proven track record of success in the financial services industry.
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
WI
06/01/2017 - Present
Robert W. Baird & Co. Inc. (Waukesha WI)
WI
02/23/2010 - 06/29/2016
WELLS FARGO ADVISORS, LLC (WAUKESHA WI)
CA
09/07/2006 - 01/23/2009
CITIGROUP GLOBAL MARKETS INC. (MENLO PARK CA)
CA
03/02/2004 - 08/28/2006
CHAUNER SECURITIES, INC. (SAN JOSE CA)
WI
03/06/1997 - 06/18/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 04/22/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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