TC
Thomas B. Craven
ROBERT W. BAIRD & CO.
Hendersonville, NC 28792
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CRD#: 4868532
TC
Professional summary
Thomas Blair Craven is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Hendersonville, North Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
I*480898 For profit or not for profit: Name of outside business organization: Henderson County NC School Board Investment related: N Address of business: Hendersonville, North Carolina, 28739 Nature of business: Position, title, association: Board Member, Start date of relationship: 11/14/2016 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Oversee education standards for Henderson County NC I*1074 For profit or not for profit: Name of outside business organization: Henderson County NC School Board Investment related: N Address of business: Hendersonville, North Carolina 28739 Nature of business: , Position, title, association: School Board Member, Start date of relationship: 11/3/2020 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Elected position to oversee Henderson County Schools I*132912 For profit or not for profit: Non-Profit Organization Name of outside business organization: Flat Rock Playhouse Investment related: N Address of business: Flat Rock, North Carolina 28731 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/1/2021 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I will be joining the board of Trustees for the Flat Rock Playhouse. The playhouse is the official theater of North Carolina and is a great place for entertainment in our community. I will help them through fundraising and general board duties.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Blair Craven's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Blair Craven'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
December 1, 2021 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 101 E Allen St. Ste 219, Hendersonville, NC 28792RIA
BD
CRD#: 8158
Hendersonville, NC
Current
December 1, 2021 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 101 E Allen St. Ste 219, Hendersonville, NC 28792RIA
BD
CRD#: 8158
Hendersonville, NC
Past
March 6, 2012 - December 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HENDERSONVILLE, NC
Past
February 2, 2012 - December 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HENDERSONVILLE, NC
Past
April 12, 2006 - January 10, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CHARLOTTE, NC
Past
April 12, 2006 - January 10, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CHARLOTTE, NC
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(1/31/2023)
RR
Arizona(1/31/2023)
RR
Arkansas(10/10/2023)
RR
California(12/1/2021)
RR
Colorado(1/31/2023)
RR
Connecticut(1/31/2023)
RR
Delaware(12/1/2021)
RR
Florida(12/1/2021)
IAR
Florida(1/26/2023)
RR
Georgia(12/1/2021)
RR
Illinois(12/1/2021)
RR
Indiana(12/1/2021)
RR
Kansas(11/10/2023)
RR
Kentucky(1/31/2023)
RR
Maryland(1/31/2023)
RR
Massachusetts(1/31/2023)
RR
Michigan(1/31/2023)
RR
Missouri(1/31/2023)
RR
Montana(4/29/2025)
RR
Nevada(1/31/2023)
RR
New Hampshire(1/31/2023)
RR
New Jersey(1/31/2023)
RR
New Mexico(1/31/2023)
RR
New York(12/1/2021)
RR
North Carolina(12/1/2021)
IAR
North Carolina(12/1/2021)
RR
Ohio(1/31/2023)
RR
Oregon(1/31/2023)
RR
Pennsylvania(12/1/2021)
RR
Rhode Island(12/13/2023)
RR
South Carolina(12/1/2021)
RR
Tennessee(12/1/2021)
RR
Texas(1/31/2023)
IAR
Texas(12/6/2023)
RR
Virginia(12/1/2021)
RR
Washington(6/23/2025)
RR
Wisconsin(12/21/2021)
RR
Wyoming(1/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158Hendersonville, NC 28792TRUST BUT VERIFY
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