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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Joe Carroll is a financial advisor with Robert W. Baird & Co. Inc., a firm with over 11,000 clients and more than $287 billion in assets under management. Thomas Joe Carroll has been in the industry since 1983. He currently provides investment advice to individuals, businesses, investment companies, and pooled investment vehicles. His current registrations include Series 63, 65, and 7. He is registered in 28 states and holds a Series 10, Series 9, and Series 8 licenses. Thomas Joe Carroll has experience in various industries, including finance, insurance, and real estate. Thomas Joe Carroll is a valuable asset to Robert W. Baird & Co. Inc. and is dedicated to providing his clients with the highest quality financial advice.
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
04/25/2008 - Present
Robert W. Baird & Co. Inc. (Madison West WI)
WI
04/01/1985 - 05/12/2008
CITIGROUP GLOBAL MARKETS INC. (MADISON WI)
NA
05/26/1983 - 04/01/1985
E. F. HUTTON & COMPANY INC
IA
Issued 04/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/26/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/1983
Series 3 - National Commodity Futures Examination
BC
Issued 05/21/1983
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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