TS
Thomas M. Smythe
ROBERT W. BAIRD & CO.
Charleston, SC 29401
Some features on this profile are disabled
CRD#: 6186278
TS
Professional summary
Thomas M. Smythe, AIF®, CFP®, ChFC®, CLU®, who also goes by Thomas Smythe, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Charleston, South Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Smythe
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)NAME: THOMAS MACKALL SMYTHE INV REL: Y ADD: 40 CALHOUN ST, SUITE 310 CHARLESTON SC 29401 NATURE: NONMMLIA - INDIVIDUAL LIFE, PROPERTY/CASUALTY, HEALTH, GROUP LIFE, GROUP HEALTH. POSITION: SALES, AGENT START DATE: 6/2013 NO HRS/MO: 20. NO HRS/MO TRADING TIME: 10. 2)NAME: THOMAS MACKALL SMYTHE INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: NONMMLIA - STRUCTURED SETTLEMENTS POSITION: SALES, AGENT START DATE: 5/2018 No. HR/MO: 5. No. HR/MO DURING SEC TRADING: 5. 3)NAME: THOMAS MACKALL SMYTHE INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: NONMMLIA - INDIVIDUAL LIFE, HEALTH, GROUP LIFE, GROUP HEALTH. POSITION: SALES, AGENT START DATE: 6/2013 NO HRS/MO: 5. NO HRS/MO TRADING TIME: 5. 4)NAME: THOMAS MACKALL SMYTHE INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: OTHER - I WILL BE RECEIVING COMMISSIONS FOR ANY PROPERTY/CASUALTY BUSINESS I DO WITH PROPERTY/CASUALTY PROPERTIES. POSITION: SALES, AGENT START DATE: 1/2016 NO HRS/MO: 15. NO HRS/MO TRADING TIME: 5. 5)NAME: THOMAS SMYTHE REAL ESTATE INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: REAL ESTATE POSITION: SALES START DATE: 10/25/2018 No. HR/MO: 5. No. HR/MO DURING SEC TRADING: 0. 6)NAME: THOMAS M. SMYTHE INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: NONPROFIT POSITION: TREASURER START DATE: 09/01/2022 No. HR/MO: 4 No. HR/MO DURING SEC TRADING: 4. 7) NAME: KSTS PROPERTIES, LLC INV REL: Y ADDR: RESIDENTIAL ADDRESS NATURE: REALTOR/REAL ESTATE POSITION: MEMBER START DATE: 9/13/2024 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 1 DUTIES: ORGANIZING REAL ESTATE ACTIVITY, BUYING/SELLING/CONSTRUCTION/RENTING 8) NAME: 3 SUMMER DUNES, LLC INV REL: Y ADDR: RESIDENTIAL ADDRESS NATURE: REALTOR/REAL ESTATE POSITION: MEMBER START DATE: 9/13/2024 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 1 DUTIES: ORGANIZING REAL ESTATE ACTIVITY, BUYING/SELLING/CONSTRUCTION/RENTING
CRS (Client Relationship Summary) - RIA
Click below to view Thomas M. Smythe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas M. Smythe'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: 2020
Experience
Current
July 31, 2025 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 25 Calhoun Street Suite 200, Charleston, SC 29401RIA
BD
CRD#: 8158
Charleston, SC
Current
July 31, 2025 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 25 Calhoun Street Suite 200, Charleston, SC 29401RIA
BD
CRD#: 8158
Charleston, SC
Past
April 22, 2016 - July 22, 2025
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CHARLESTON, SC
Past
October 30, 2013 - July 22, 2025
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CHARLESTON, SC
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
Georgia(7/31/2025)
RR
Massachusetts(7/31/2025)
RR
North Carolina(7/31/2025)
RR
South Carolina(7/31/2025)
IAR
South Carolina(7/31/2025)
RR
Virginia(7/31/2025)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
