Terence E. Sanctis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Terence Edmond Sanctis, who also goes by Terry Sanctis, was a registered financial professional .
Terence is a previously registered financial professional and started their career in finance in 1983. Terence had worked at 9 firms and has passed the Series 65, Series 63, Series 72, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2019 - January 15, 2025
ROBERT W. BAIRD & CO. INCORPORATED
October 18, 2019 - January 15, 2025
ROBERT W. BAIRD & CO. INCORPORATED
September 19, 2018 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
September 19, 2018 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
January 1, 2004 - September 20, 2018
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - September 20, 2018
PNC WEALTH MANAGEMENT LLC
June 3, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
June 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
March 1, 1994 - June 1, 2002
PNC BROKERAGE CORP
July 3, 1991 - March 9, 1994
CAPITAL BROKERAGE CORPORATION
January 22, 1990 - July 1, 1991
IDS LIFE INSURANCE COMPANY
January 22, 1990 - July 1, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
September 29, 1986 - December 1, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 1983 - January 24, 1985
FEDERATED SECURITIES CORP.
Primary Firm SEC Registration
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
