Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you S.thomas? Claim Your ProfileS.thomas Ogden is an investment advisor with over 29 years of experience in the financial services industry. S.thomas is currently registered with Robert W. Baird & Co. Inc. and has been with the firm since October 2019. Previously, S.thomas was an advisor with J.J.B. HILLIARD, W.L. LYONS, LLC, CITIGROUP GLOBAL MARKETS INC., MARINER FINANCIAL SERVICES, INC. and SECURITIES MANAGEMENT & RESEARCH, INC.. S.thomas is registered in 24 states and has a wide range of experience and expertise in various financial areas.
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
KY
10/18/2019 - Present
Robert W. Baird & Co. Inc. (Lexington KY)
KY
04/24/2009 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (LEXINGTON KY)
KY
03/29/1996 - 05/14/2009
CITIGROUP GLOBAL MARKETS INC. (LEXINGTON KY)
FL
01/04/1995 - 12/31/1995
MARINER FINANCIAL SERVICES, INC. (LARGO FL)
IA
05/05/1994 - 01/13/1995
SECURITIES MANAGEMENT & RESEARCH, INC. (CEDAR RAPIDS IA)
FL
09/01/1993 - 05/10/1994
MARINER FINANCIAL SERVICES, INC. (LARGO FL)
IA
Issued 04/19/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 03/27/1996
Series 7 - General Securities Representative Examination
BC
Issued 08/31/1993
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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