Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Bennett is a registered investment advisor representative with Robert W. Baird & Co. Inc. Thomas has been in the financial industry since 1997. Thomas holds Series 63, 65, 7, 9 and 10 licenses. Thomas is registered in 34 states and is also a registered investment advisor in Kentucky, Florida and Texas. Thomas is a Registered Representative and Investment Advisor Representative of Robert W. Baird & Co. Incorporated, a broker-dealer and investment adviser.
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
01/17/1997 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (LEXINGTON KY)
IA
Issued 09/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/27/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/19/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/11/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1997
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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