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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2019-10-18
  • KY RA
    APPROVED
    Since 2019-10-18

Branch Locations

4803 Olympia Park Plaza 4Th Floor Suite 4000, Louisville, KY 40241 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jjb Hilliard Wl Lyons Llc Louisville KY 09/2016 Present
Robert W. Baird & Co. Incorporated Louisville KY 10/2019 Present
Hilliard Lyons Louisville KY 11/2006 09/2016
  • 09/2016 → Present
    Jjb Hilliard Wl Lyons Llc
    Louisville, KY
  • 10/2019 → Present
    Louisville, KY
  • 11/2006 → 09/2016
    Hilliard Lyons
    Louisville, KY
Previous Registrations
  • 2007-01-24 → 2019-10-18
    J.J.B. Hilliard, W.L. Lyons, Llc
    Louisville, KY
    Louisville, KY
  • 2006-09-26 → 2006-12-01
    Uvest Financial Services Group, Inc.
    Louisville, KY
    Louisville, KY
  • 2005-01-25 → 2006-04-05
    Bb&T Investment Services, Inc.
    Charlotte, NC
  • 2001-12-13 → 2004-10-14
    Louisville, KY
Other Businesses

1. OSC PROPERTIES, NOT INVESTMENT-RELATED, 3903 BLUESTEM LN LOUISVILLE, KY 40218. OWN A PIECE OF LAND TO DEVELOP HOMES ON, INVESTOR, I AM ONE OF THE OWNERS AND AM NOT ACTIVELY INVOLVED. 1/2005, I DEVOTE 0 HRS. MY DUTIES IS THAT OF AN INVESTOR ONLY. 2. JOY INVESTMENTS, LLC. NOT INVESTMENT-RELATED, 1517 THACKARY RD., LOUISVILLE, KY 40205, OWNS ONE 4-PLEX RENTAL UNIT, INVESTOR, I AM ONE OF THE OWNERS OF THE LLC BUT AM NOT ACTIVELY INVOLVED. 7/2003, NO DUTIES. 3. Al J Schneider Co, not investment-related, 100 Fourth St Louisville KY 40202, Family business which owns and operates hotels, commercial office buildings, apartments and mill work. Shareholder, 6/2003, 0 hrs/month, no duties. 4. Nance Realty, not investment-related, 100 Fourth St Louisville KY 40202, Owns several parcels of real estate from land to a small shopping center, Investor, 7/2003, 0 hrs/month, no duties. 5. Seven Sibs LLC, not investment-related, 1517 Thackeray Dr. Louisville KY 40205, We own 325 apartment units with several other partners. We have a management company that runs the operation. I am just an investor. 1/2005, 0 hrs/month, no duties. 6. SMT PROPERTIES, FAMILY REAL ESTATE INVESTMENT, SHAREHOLDER WITH NO DIRECT DUTIES, START DATE 06/01/2018, 0 HR/MO, 0 HRS/MO TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-04
  • S66 Uniform Combined State Law Examination
    2001-05-04
Designations
Other Names
  • Todd Oetken

View on SEC IAPD

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