Ann Treml-olson
ROBERT W. BAIRD & CO.
Minnetonka, MN 55305
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CRD#: 2010066
Professional summary
Ann Treml-olson, CFP®, who also goes by Ann Elizabeth Treml, Ann Elizabeth Treml-olson, Annie Elizabeth Treml-olson, Ann Elizabeth Tremlolson, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Minnetonka, Minnesota.
Ann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Ann has worked at 11 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ann Elizabeth Treml | Ann Elizabeth Treml-Olson | Annie Elizabeth Treml-Olson | Ann Elizabeth Tremlolson
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) MY HUSBAND AND I HAVE AN LLC THAT OWNS AN OFFICE CONDO THAT IS RENTAL PROPERTY. STARTED IN 2009?, I DO NOTHING FOR THIS LLC.
(2) MY HUSBAND IS SELF-EMPLOYED. I WILL RANDOMLY HELP HIM AT HIS OFFICE. STARTED IN 1997, APPROX 1 HR/MO, I WORK THE PAST DUE LIST. NONE OF MY ACTIVITIES ARE DONE DURING SECURITIES TRADING HOURS.
(3) JPO HOLDINGS, 18840 32ND. AVE. N, PLYMOUTH, MINNESOTA 55447 - INVESTMENT RLT'D - NO, COMPENSATION FOR ACTIVITY - YES, HRS DEVOTED TO ACTIVITY - 0, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 04/02/07, POSITION - FAMILY HELD; THIS IS A LLC WHICH MY HUSBAND AND I OWN. WE OWN A PIECE OF COMMERCIAL REAL ESTAE IN MAPLE GROVE MN. IT IS AN OFFICE CONDO. IT IS CURRENTLY BEING USED AS RENTAL PROPERTY.
I*63982
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: TIECO SERVICE
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
PLYMOUTH MN 55447
NATURE OF BUSINESS: S-CORP
COMPENSATION FOR ACTIVITY: N
POSITION, TITLE, ASSOCIATION:
START DATE OF RELATIONSHIP: 7/1/1997
NUMBER OF HOURS DEVOTED: 12 ANNUALLY HOUR(S)
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: THIS IS MY HUSBAND'S COMPANY. IT IS A SUB-S CORP. I GO IN OCCASIONALY AND SEND OUT PAST DUE NOTICES TO HIS CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Ann Treml-olson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ann Treml-olson'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®
CFP®
Start date: 1991
Experience
Current
October 14, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 601 Carlson Parkway Suite 950, Minnetonka, MN 55305RIA
BD
CRD#: 8158
Minnetonka, MN
Current
November 16, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 601 Carlson Parkway Suite 950, Minnetonka, MN 55305RIA
BD
CRD#: 8158
Minnetonka, MN
Past
November 21, 2015 - November 2, 2020
WORK OPTIONAL, INC.
RIA
CRD#: 143430
PLYMOUTH, MN
Past
June 19, 2013 - March 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WAYZATA, MN
Past
June 19, 2013 - March 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WAYZATA, MN
Past
January 13, 2011 - May 16, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
EDEN PRAIRIE, MN
Past
January 3, 2011 - May 16, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
EDEN PRAIRIE, MN
Past
June 30, 2010 - December 8, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
February 8, 2008 - May 11, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WAYZATA, MN
Past
February 7, 2007 - May 11, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WAYZATA, MN
Past
September 12, 2000 - December 22, 2000
SECURITIES RESOLUTION CORPORATION
BD
CRD#: 7119
MINNEAPOLIS, MN
Past
September 16, 1999 - July 28, 2000
WIC CORP.
BD
CRD#: 17510
MINNEAPOLIS, MN
Past
July 8, 1999 - September 30, 1999
MARQUETTE FINANCIAL GROUP, INC.
BD
CRD#: 345
MINNEAPOLIS, MN
Past
April 6, 1993 - July 31, 1997
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
November 21, 1989 - January 4, 1993
MARQUETTE FINANCIAL SERVICES, INC.
BD
CRD#: 17109
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(8/16/2024)
RR
California(1/4/2021)
RR
Colorado(3/9/2021)
RR
Connecticut(9/4/2024)
RR
Florida(1/4/2021)
IAR
Florida(7/23/2021)
RR
Georgia(1/4/2021)
RR
Illinois(8/16/2024)
RR
Iowa(8/30/2021)
RR
Maryland(1/4/2021)
RR
Michigan(10/10/2023)
IAR
Minnesota(10/14/2020)
RR
Minnesota(12/21/2020)
RR
Montana(9/19/2023)
RR
New Jersey(1/4/2021)
RR
New Mexico(6/24/2025)
RR
New York(5/26/2021)
RR
North Carolina(1/4/2021)
RR
North Dakota(4/24/2024)
RR
Ohio(1/4/2021)
RR
Oregon(8/16/2024)
RR
Pennsylvania(1/4/2021)
RR
South Carolina(9/1/2022)
RR
Texas(1/4/2021)
IAR
Texas(3/23/2021)
RR
Utah(1/4/2021)
RR
Virginia(5/22/2024)
RR
Washington(3/18/2021)
RR
Wisconsin(1/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/16/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
