Carol Ericson (CRD# 2286751) is an Investment Advisor Representative working at Robert W. Baird & Company Incorporated in Waukesha, WI and has over 27 years of experience in the finance industry.
CRD# 170
Mutual Of Omaha Investor Services, Inc.
CRD# 6857150
Landaas & Company
CRD# 6289332
Annex Wealth Management, LLC
Company Name | Location | Dates | Years |
---|---|---|---|
Robert W. Baird & Company, Inc. | Waukesha, WI | Jun 2017 - Current | 6 |
Sikich | Brookfield, WI | Jan 2017 - May 2017 | < 1 |
Not Employeed | New Berlin, WI | Jun 2016 - Jan 2017 | < 1 |
Wells Fargo Advisors, LLC | Waukesha, WI | Jun 2015 - Jun 2016 | 1 |
Wells Fargo Advisors LLC | East Palo Alto, CA | Feb 2010 - Jun 2015 | 5 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Mar 1997 |
S65 | NASAA Investment Advisors Law Examination | Apr 1997 |
- FL
- TX
- WI
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Total Assets Under Management287,515MILLIONS
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Total Number of Accounts331,500ACCOUNTS
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Average Account Value$867,315
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Performance-based fees
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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