JC
Joshua R. Carstens
ROBERT W. BAIRD & CO.
Washington, IL
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CRD#: 4694279
JC
Professional summary
Joshua Richard Carstens, CFP®, who also goes by Joshua Richard Carstens, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Washington, Illinois.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joshua has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joshua Richard Carstens
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/Address: Rental Home 225 W Clark St Morton IL 61550 Start Date: 3/1/20 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: Rental Property Owner Non Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Richard Carstens's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joshua Richard Carstens'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: 2016
Experience
Current
January 2, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #2: 4617 North Prospect Road, Peoria Heights, IL 61616RIA
BD
CRD#: 8158
Washington, IL
Current
January 2, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 4617 North Prospect Road, Peoria Heights, IL 61616RIA
BD
CRD#: 8158
Peoria Heights, IL
Past
January 17, 2019 - October 17, 2019
TD AMERITRADE, INC.
RIA
CRD#: 7870
TUCSON, AZ
Past
January 17, 2019 - October 17, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Tucson, AZ
Past
January 17, 2019 - October 17, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
TUCSON, AZ
Past
November 6, 2015 - January 11, 2019
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
Tucson, AZ
Past
November 6, 2015 - January 11, 2019
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
PEORIA, IL
Past
May 21, 2010 - November 11, 2015
BENJAMIN F. EDWARDS & COMPANY, INC.
RIA
CRD#: 146936
PEORIA, IL
Past
November 16, 2009 - May 24, 2010
BFE ASSET MANAGEMENT, LLC
RIA
CRD#: 148578
ST. LOUIS, MO
Past
November 6, 2009 - November 11, 2015
BENJAMIN F. EDWARDS & COMPANY, INC.
BD
CRD#: 146936
PEORIA, IL
Past
January 1, 2008 - November 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PEORIA, IL
Past
August 2, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PEORIA, IL
Past
August 18, 2003 - May 23, 2005
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
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(1/21/2022)
RR
Alaska(2/23/2022)
RR
Arizona(1/2/2020)
IAR
Arizona(1/7/2020)
RR
California(1/2/2020)
RR
Florida(1/2/2020)
IAR
Florida(1/13/2020)
RR
Illinois(1/2/2020)
IAR
Illinois(1/2/2020)
RR
Indiana(1/2/2020)
RR
Iowa(1/2/2020)
RR
Kentucky(1/2/2020)
RR
Maine(1/10/2022)
RR
Massachusetts(2/16/2022)
RR
Michigan(1/2/2020)
RR
Minnesota(1/2/2020)
RR
Missouri(1/2/2020)
RR
Nevada(1/10/2022)
RR
New Mexico(1/2/2020)
RR
North Carolina(1/2/2020)
RR
Ohio(1/2/2020)
RR
Oregon(1/2/2020)
RR
Pennsylvania(1/2/2020)
RR
Rhode Island(11/22/2023)
RR
South Carolina(1/2/2020)
RR
Tennessee(1/2/2020)
RR
Texas(1/2/2020)
IAR
Texas(1/2/2020)
RR
Wisconsin(1/2/2020)
RR
Wyoming(1/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
