HT
Harold H. Tearse
ROBERT W. BAIRD & CO.
Minnetonka, MN 55305
Some features on this profile are disabled
CRD#: 1140413
HT
Professional summary
Harold Horton Tearse III, CPWA®, who also goes by Hal Tearse, Harold Horton Tearse, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Minnetonka, Minnesota.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Harold has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hal Tearse | Harold Horton Tearse
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Name and Address: Orono Youth Hockey Association Orono Minnesota 55323 Start date:10/1/20 Hours spent: 0-4 hours/month Hours spent during trading: Zero Role/Responsibility: Coach Non Investment related Name/Address: Inside Edge 6125 Wood HIll Lane Independence Minnesota 55359 Start Date: 5/1/23 Hours Spent: 0-4 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Independent Contractor; Advisor for high school hockey players Non Investment Related TEARSE -Author; ADDRESS: 652125 WOOD HILL LANE, INDEPENDENCE, MN 55359; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Writing book on wealth management; CAPACITY: INDEPENDENT CONTRACTOR/CONSULTANT; START DATE: 9/25/2018; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (8) TEARSE PHOTOGRAPHY; ADDRESS: 652125 WOOD HILL LANE, INDEPENDENCE, MN 55359; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PHOTOGRAPHY; CAPACITY: INDEPENDENT CONTRACTOR/CONSULTANT; START DATE: 9/25/2018; DUTIES: SHOOTING PHOTOGRAPHS FOR SALE; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0.
CRS (Client Relationship Summary) - RIA
Click below to view Harold Horton Tearse III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harold Horton Tearse III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CPWA®
Start date: 2020-07-21
Expire date: 2024-06-30
Experience
Current
July 24, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 601 Carlson Parkway Suite 950, Minnetonka, MN 55305RIA
BD
CRD#: 8158
Minnetonka, MN
Current
July 24, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 601 Carlson Parkway Suite 950, Minnetonka, MN 55305RIA
BD
CRD#: 8158
Minnetonka, MN
Past
April 19, 2005 - August 7, 2019
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNETONKA, MN
Past
March 2, 1998 - August 7, 2019
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MINNETONKA, MN
Past
October 2, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
September 1, 1994 - October 2, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
July 19, 1993 - September 1, 1994
HAMILTON INVESTMENTS, INC.
BD
CRD#: 821
Past
January 23, 1992 - July 19, 1993
CRAIG-HALLUM, INC.
BD
CRD#: 1546
Past
January 11, 1990 - January 28, 1992
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 19, 1988 - January 24, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 22, 1983 - May 26, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/24/2019)
RR
California(7/24/2019)
RR
Delaware(7/24/2019)
RR
Florida(7/24/2019)
IAR
Florida(10/4/2019)
RR
Georgia(7/25/2019)
RR
Hawaii(11/6/2019)
RR
Idaho(2/2/2024)
RR
Illinois(5/24/2022)
RR
Maryland(7/24/2019)
RR
Michigan(7/24/2019)
RR
Minnesota(7/24/2019)
IAR
Minnesota(7/24/2019)
RR
Montana(10/1/2019)
RR
New York(7/24/2019)
RR
North Dakota(7/24/2019)
RR
Ohio(7/24/2019)
RR
Oregon(7/24/2019)
RR
Pennsylvania(7/25/2019)
RR
South Carolina(7/24/2019)
IAR
Texas(7/24/2019)
RR
Texas(7/25/2019)
RR
Vermont(8/2/2024)
RR
Washington(7/24/2019)
RR
Wisconsin(7/24/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/11/1985
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/6/1985
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
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.
