Best Investors Account Sign in

Thomas Clark Phillips

Robert W. Baird & Co. Incorporated

Findlay, OH

Claim This Profile
Current Employers
Robert W. Baird & Co. Incorporated

777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-02-01
OH RA APPROVED 2020-03-03
TX RA APPROVED 2020-03-03
  • FL RA
    APPROVED
    Since 2022-02-01
  • OH RA
    APPROVED
    Since 2020-03-03
  • TX RA
    APPROVED
    Since 2020-03-03

Branch Locations

317 S. Main Street, Findlay, OH 45840 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Findlay OH 05/2009 11/2016
Wells Fargo Clearing Services, Llc Findlay OH 11/2016 03/2020
Robert W Baird Toledo OH 03/2020 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Findlay, OH
  • 11/2016 → 03/2020
    Wells Fargo Clearing Services, Llc
    Findlay, OH
  • 03/2020 → Present
    Robert W Baird
    Toledo, OH
Previous Registrations
  • 2008-01-01 → 2020-03-09
    Wells Fargo Clearing Services, Llc
    Findlay, OH
    Lima, OH
  • 2005-07-14 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Findlay, OH
    Findlay, OH
    St. Louis, MO
Other Businesses

CO-TRUSTEE FOR MOTHER, INVESTMENT RELATED, FINDLAY, OH, START DATE: 2004

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-02-27
S63 Uniform Securities Agent State Law Examination 2001-03-26
  • S66 Uniform Combined State Law Examination
    2012-02-27
  • S63 Uniform Securities Agent State Law Examination
    2001-03-26
Other Names
  • Lay Phillips
  • Tom Phillips

View on SEC IAPD

Other Firms

FIFTH THIRD SECURITIES, INC.
COMMONWEALTH FINANCIAL NETWORK
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
EDWARD JONES
THE HUNTINGTON INVESTMENT COMPANY
PFS INVESTMENTS INC.
HIXON ZUERCHER CAPITAL MANAGEMENT
ALPHASTAR CAPITAL MANAGEMENT

Other Investors

RANDY JAY YODER
MICHAEL ANDREW RATTIGAN
Spencer M Giesige
MARK WILLIAM LONG
ANGELA LOUISE SCHUMAKER
Uriah Burke
LAWRENCE CHARLES COPELAND
Sarah E Courtney

Other Offices

FIFTH THIRD SECURITIES, INC. · FINDLAY, OH
COMMONWEALTH FINANCIAL NETWORK · Findlay, OH
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FINDLAY, OH
EDWARD JONES · FINDLAY, OH
THE HUNTINGTON INVESTMENT COMPANY · FINDLAY, OH
PFS INVESTMENTS INC. · FINDLAY, OH
HIXON ZUERCHER CAPITAL MANAGEMENT · FINDLAY, OH
HIXON ZUERCHER CAPITAL MANAGEMENT · FINDLAY, OH

More in Findlay, OH

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor