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Current Employers
Robert W. Baird & Co. Incorporated

777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2019-10-24
TX RA APPROVED 2013-07-03
  • FL RA
    APPROVED
    Since 2019-10-24
  • TX RA
    APPROVED
    Since 2013-07-03

Branch Locations

945 Bunker Hill Rd Suite 300, Houston - Memorial City, TX 77024 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W. Baird & Co. Houston TX 07/2013 Present
  • 07/2013 → Present
    Robert W. Baird & Co.
    Houston, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-07-29
S63 Uniform Securities Agent State Law Examination 2001-03-09
  • S66 Uniform Combined State Law Examination
    2002-07-29
  • S63 Uniform Securities Agent State Law Examination
    2001-03-09
Other Names
  • Moe Allain

View on SEC IAPD

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