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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2018-06-06 |
| TX | RA | APPROVED_RES | 2016-11-04 |
| WI | RA | APPROVED | 1988-06-23 |
Branch Locations
12075 N. Corporate Parkway Suite 200, Mequon, WI 53092 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert W. Baird & Co. Incorporated | Mequon | WI | 10/1987 | Present |
Name: Dorothy and Margaretha Schmidtbauer Foundation, Inc.; Investment-Related; Address: 1222 West Venture Court, Mequon, WI 53092; Nature: Charitable/Religious; Role: Board Member/ Director/ Officer; Start Date: 12/29/15; Appx hrs: very little, annual approval of scholarship recipients; Hrs during trading: extremely little; Duties: facilitating Pres and Treas with board decisions and approval of charitable distributions (Jesuit scholarships) Name: Hampton Investments LLC Address: 10936 N Port Washington Rd #301, Mequon WI 53092 Nature: Rental Property, not investment related Start: 1999 Role: Officer/Treasurer Hours: 1 hr/week, 1 during market hours. Duties: Responsibilities include management of property with my brother Name: Rita Management Address: 10936 N Port Washington Rd #301, Mequon WI 53092 Nature: LLC, not investment related Role: Officer/Partner/Treasurer Start: 1996 Hours: 1hr/year, none during market hours Duties: receive and distribute management income from Hampton Investment and Lewenauer Investment properties Name: JLew Investments Address: 10936 N Port Washington Rd #301, Mequon WI 53092 Nature: Rental Property, not investment related Start: 2003 Role: Partner/Treasurer Hours: 1hr/year, some possible during market hours Duties: overseeing management by 3rd party manager Name: Frank and Lucille Puncer Charitable Foundation/Lucille Puncer Survivor Trust Address: 2500 Deer Lake St Las Vegas, NV 89134 Nature: Foundation, investment related Start: TBD Role: Director/Successor Trustee Hours: 1hr/year, some possible during market hours Duties: Direct investment and charitable allocation decisions Name: Lewenauer Investments LLP Address: 10936 N Port Washington Rd #301, Mequon WI 53092 Nature: Rental Property, not investment related Start: 1996 Role: Officer/Partner/Treasurer Hours: 1 hours/week, 1 hour during market hours Duties: management of the properties with my brother Name: ALL Inc Address: 10936 N Port Washington Rd #301, Mequon WI 53092 Start: 1990 Nature: Rental Property, not investment related Role: Officer/Partner/Treasurer Hours: 1hr/year, none during market hours Duties: Monitor flow through of income from Hampton Investment property. 33% of the income that comes to ALL INC Name: Gladys Gores Charitable Foundation Address: 815 N Cass St Milwaukee, WI 53202 Nature: Foundation Role: Director/Officer, investment related Start: July 2018 Hours: 1hr/year, some possible during market hours Duties: Formulation of investment policy, obtaining and overseeing investment advisor(s), charitable grants Name/Address: Bonniwell Trace HOA Start date: 2020 Hours spent: 0-1 hour/month Hours spent during trading hours: Zero Role/Responsibility: Treasurer, check signing abilities Non Investment related Name/Address: Hear Wisconsin 10243 W National Ave West Allis WI 53227 Start Date: 1/1/22 Hours Spent: 0-1 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board of Directors; Investment Related
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1987-12-29 |
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