TH
Terrence W. Hosty
ROBERT W. BAIRD & CO.
cincinnati, OH
Some features on this profile are disabled
CRD#: 1221999
TH
Professional summary
Terrence William Hosty SR, who also goes by Terrence William Hosty, Terry Hosty, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Cincinnati, Ohio.
Terrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Terrence has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Terrence William Hosty | Terry Hosty
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.
1) VINE STREET VENTURE FUND 2, NON-INVEST RELATED, 425 WALNUT STREET, CINCINNATI OH 45202, PRIVATE EQUITY INVESTMENT, PASSIVE INVESTOR, 7/2015, 0 HRS/MONTH, NO DUTIES.
2) Greentech Motors Corporation, not investment-related, 31324 Via Colinas; Ste. 108 West Lake Village CA 91362, a private California corporation that holds a long term license providing it with the rights to fully commercialize the Lake Air Gap Ring (LAGeR) technology in the manufacturing of electric motors and generators, Passive Investor, 3/2016, 0 hrs/month, no duties.
CRS (Client Relationship Summary) - RIA
Click below to view Terrence William Hosty SR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Terrence William Hosty SR'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®
NoneExperience
Current
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #2: 3805 Edwards Rd Suite 610, Cincinnati, OH 45209RIA
BD
CRD#: 8158
cincinnati, OH
Current
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 3805 Edwards Rd Suite 610, Cincinnati, OH 45209RIA
BD
CRD#: 8158
Cincinnati, OH
Past
September 23, 2008 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
CINCINNATI, OH
Past
September 18, 2008 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
CINCINNATI, OH
Past
January 1, 2008 - September 26, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BLUE ASH, OH
Past
January 1, 2008 - September 26, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BLUE ASH, OH
Past
December 18, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
BLUE ASH, OH
Past
December 14, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
BLUE ASH, OH
Past
February 21, 2006 - December 19, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CINCINNATI, OH
Past
February 21, 2006 - December 19, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CINCINNATI, OH
Past
November 26, 1999 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
CINCINNATI, OH
Past
December 11, 1998 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
CINCINNATI, OH
Past
January 28, 1995 - January 4, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 15, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
September 4, 1990 - November 16, 1993
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 29, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
BD
CRD#: 7656
Past
December 1, 1987 - September 12, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
December 21, 1983 - December 16, 1987
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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(10/18/2019)
RR
California(10/18/2019)
RR
District of Columbia(10/18/2019)
RR
Florida(10/18/2019)
RR
Illinois(10/18/2019)
RR
Indiana(10/18/2019)
RR
Kentucky(10/18/2019)
RR
Massachusetts(10/18/2019)
RR
Michigan(10/18/2019)
RR
Missouri(10/18/2019)
RR
Nevada(10/18/2019)
RR
Ohio(10/18/2019)
IAR
Ohio(10/18/2019)
RR
Oregon(10/18/2019)
RR
South Carolina(10/18/2019)
RR
Texas(10/18/2019)
IAR
Texas(10/18/2019)
RR
Washington(10/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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.
