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Detailed Report
THOMAS J DUFFEY JR.
THOMAS J DUFFEY
CRD#: 4760513
IA
Investment Adviser
B
Broker
ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 777 EAST WISCONSIN AVE
MILWAUKEE, WI 53202
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2006 - 2011 (5 years)2 FIRMS2011 - Present (13 years)BAXA ADVISORS, LLC (CRD# 6627)2004 - 2006 (1 year)
License(s)

State Registrations

B
Arizona 12/23/2016
B
Nebraska 9/25/2020
B
Arkansas 12/23/2016
B
New York 12/23/2016
B
California 12/23/2016
B
North Carolina 1/16/2018
B
Colorado 4/4/2017
B
Ohio 12/9/2016
B
Connecticut 12/23/2016
B
Oregon 12/23/2016
B
Florida 10/6/2011
B
Pennsylvania 12/23/2016
IA
Florida 6/29/2017
B
South Carolina 3/1/2012
B
Georgia 12/7/2011
B
Tennessee 12/23/2016
B
Illinois 10/6/2011
B
Texas 12/23/2016
B
Indiana 3/8/2019
IA
Texas 1/3/2017
B
Kentucky 12/23/2016
B
Vermont 12/13/2024
B
Maryland 12/23/2016
B
Virginia 1/5/2021
B
Massachusetts 10/25/2020
B
Washington 10/25/2013
B
Michigan 6/11/2013
B
Wisconsin 10/4/2011
B
Minnesota 10/6/2011
IA
Wisconsin 10/4/2011
B
Montana 12/23/2016

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158)
777 EAST WISCONSIN AVE, MILWAUKEE, WI 53202
Registered with this firm since 10/4/2011
B
ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158)
777 EAST WISCONSIN AVE, MILWAUKEE, WI 53202
Registered with this firm since 10/4/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/26/2006 - 07/26/2011 M&I INVESTMENT MANAGEMENT CORP. (CRD#:109802) MILWAUKEE, WI
B
 04/26/2006 - 07/26/2011 M&I FINANCIAL ADVISORS, INC (CRD#:16517) MILWAUKEE, WI
B
 07/07/2004 - 03/02/2006 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.