Tricia M. Hollander Henning
ROBERT W. BAIRD & CO. | Director/Financial Advisor
Evansville, IN 47708
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CRD#: 2277478
Professional summary
Tricia M. Hollander Henning, CFP®, CIMA®, CPWA®, who also goes by Tricia M. Henning, Tricia M. Hollander, Tricia Marlene Hollander, Tricia M. Hollander-henning, Tricia Hollander-pendley, Tricia Hollander Pendley, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Evansville, Indiana.
Tricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Tricia has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Executive services/Equity comp...
Trust & estate planning
Philanthropic services
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
750K
Are you a "fiduciary"?
Yes
Aliases
Tricia M. Henning | Tricia M. Hollander | Tricia Marlene Hollander | Tricia M. Hollander-Henning | Tricia Hollander-Pendley | Tricia Hollander Pendley
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.
ST. BENS FINANCE: 1) DATE STARTED: 2009 2) WHAT CAPACITY (IE, BOARD MEMBER, TREASURER, ETC)BOARD MEMBER 3) ANY INVESTMENT OR FINANCIAL CONTROL?NO UNITED WAY: BOARD MEMBER-FIRST BOARD MEETING IN APRIL UNDERSTANDS TO RECUSE HERSELF FROM ANY DECISIONS THAT INVOLVE HL FINANCIAL EXPERTISE. Welborn Baptist Foundation, investment-related, 21 Southeast Third St Suite 610 Evansville IN 47708, Community Impact Organization, Board Member, 5/2015, 10 hrs/month total with 2 of those hrs during trading hrs, duties include being on Governance Committee and Investment Committee. DUNN GROUP FUND 1, LLC, WIFE OF INVESTOR, START DATE 04/05/2019. HOTELS BUILT AROUND COUNTRY, 0 HRS/MO, 0 HRS/MO TRADING Name/Address: Welborn Baptist Foundation Main Street Evansville IN 47708 Start date: 1/1/16 Hours spent: 0-1 hour/month Hours spent during trading hours: 0-1 hour/month Role/Responsibility: Chair of Investment Committee Investment related Name/Address: Regency Properties; Rental Property Burkhardt Rd Evansville IN 47715 Start date: 2015 Hours spent: 0-1 hour/month Hours spent during trading hours: 0-1 hour/month Role/Responsibility: Owner/Proprietor, Landlord Non-Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Tricia M. Hollander Henning's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tricia M. Hollander Henning'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: 2007
CPWA®
Start date: 2014-10-27
Expire date: 2025-03-31
Experience
Current
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 110 Main Street, Evansville, IN 47708RIA
BD
CRD#: 8158
Evansville, IN
Current
October 18, 2019 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 110 Main Street, Evansville, IN 47708RIA
BD
CRD#: 8158
Evansville, IN
Past
February 3, 1999 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
EVANSVILLE, IN
Past
January 11, 1993 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
EVANSVILLE, IN
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
Alabama(10/18/2019)
RR
Alaska(9/28/2020)
RR
Arizona(10/18/2019)
RR
Arkansas(1/6/2020)
RR
California(10/18/2019)
RR
Colorado(10/18/2019)
RR
Connecticut(10/18/2019)
RR
Florida(10/18/2019)
IAR
Florida(1/8/2021)
RR
Georgia(10/18/2019)
RR
Hawaii(10/18/2019)
RR
Idaho(10/18/2019)
RR
Illinois(10/18/2019)
RR
Indiana(10/18/2019)
IAR
Indiana(10/18/2019)
RR
Iowa(10/18/2019)
RR
Kansas(10/18/2019)
RR
Kentucky(10/18/2019)
RR
Maryland(10/18/2019)
RR
Massachusetts(10/18/2019)
RR
Michigan(10/18/2019)
RR
Minnesota(10/18/2019)
RR
Mississippi(10/18/2019)
RR
Missouri(10/18/2019)
RR
Nevada(10/18/2019)
RR
New Hampshire(10/18/2019)
RR
New Jersey(6/4/2021)
RR
New Mexico(1/7/2020)
RR
New York(10/18/2019)
RR
North Carolina(10/18/2019)
RR
Ohio(10/18/2019)
RR
Oklahoma(10/18/2019)
RR
Oregon(10/18/2019)
RR
Pennsylvania(10/18/2019)
RR
Rhode Island(10/18/2019)
RR
South Carolina(10/18/2019)
RR
Tennessee(10/18/2019)
RR
Texas(10/18/2019)
IAR
Texas(10/18/2019)
RR
Virginia(10/18/2019)
RR
Washington(10/18/2019)
RR
West Virginia(10/18/2019)
RR
Wisconsin(10/18/2019)
RR
Wyoming(10/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General 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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
Director/Financial AdvisorCRD#: 8158Evansville, IN 47708TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
