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Thomas Joe Carroll

Robert W. Baird & Co. Incorporated

Madison West, WI

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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-06-21
FL RA APPROVED 2018-02-05
WI RA APPROVED 2008-04-25
  • TX RA
    APPROVED_RES
    Since 2019-06-21
  • FL RA
    APPROVED
    Since 2018-02-05
  • WI RA
    APPROVED
    Since 2008-04-25

Branch Locations

8000 Excelsior Dr Ste 302, Madison West, WI 53717 • 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
Robert W. Baird & Co., Inc Madison WI 04/2008 Present
  • 04/2008 → Present
    Robert W. Baird & Co., Inc
    Madison, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-08
S63 Uniform Securities Agent State Law Examination 1983-06-03
  • S65 Uniform Investment Adviser Law Examination
    1994-04-08
  • S63 Uniform Securities Agent State Law Examination
    1983-06-03

View on SEC IAPD

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Other Offices

FOCUS PARTNERS WEALTH, LLC · Madison, WI
U.S. BANCORP ADVISORS, LLC · Madison, WI
UMB FINANCIAL SERVICES, INC. · Madison, WI
PARK AVENUE SECURITIES LLC · MADISON, WI
WISCONSIN CAPITAL MANAGEMENT, LLC · MADISON, WI
CMG WEALTH ADVISORS LLC · MADISON, WI
UBS FINANCIAL SERVICES INC. · MADISON, WI
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