Thomas Joseph Bennett Jr
Professional Summary
Thomas Joseph Bennett JR, who also goes by Joe Bennett, Joseph Bennett, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Lexington, Kentucky. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joe Bennett, Joseph Bennett
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391Mailing Address
P.o. Box 672, Milwaukee, WI 53201Phone Number
(414) 765-3500Established
Wisconsin since 12/29/1919Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
4,322SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US 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 |
| LANGENFELD, JON A | CHIEF FINANCIAL OFFICER | 4322120 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| 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
367,123AUM (Assets Under Management)
$394,068,801,480Disclosures
Regulatory Event
44Arbitration
31Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2025 | Cover Page | Report |
| 10/24/2024 | Cover Page | Report |
| 11/15/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(10/18/2019)
(10/18/2019)
(10/18/2019)
(1/29/2021)
(10/18/2019)
(12/18/2020)
(10/18/2019)
(6/13/2023)
(6/4/2021)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(11/5/2020)
(10/20/2021)
(3/24/2022)
(6/29/2026)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(2/23/2022)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(10/18/2019)
(6/30/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Mar 2003About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2003About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Bennett JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Bennett JR's CRS (Customer Relationship Summary).
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