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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2019-10-18 |
Branch Locations
500 West Jefferson St., Louisville, KY 40202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.J.B. Hilliard, W.L. Lyons Llc | Louisville | KY | 10/2009 | 10/2019 |
| Robert W. Baird & Co. Incorporated | Louisville | KY | 10/2019 | Present |
1) ESTILL COUNTY LANDY COMPANY, NON-INVEST RELATED, 2423 VALLEY VISTA RD LOUISVILLE KY 40205, LAND COMAPNY, PARTNER, 1/2015, 1 HR/MONTH WITH 0 HRS DURING TRADING HRS, NO DUTIES. 2) 884 GROUP LLC, NON-INVEST RELATED, 2423 VALLEY VISTA RD, LOUISVILLE KY 40205, RENTAL PPTY, PARTNER, 1/2015, 2 HRS/MONTH WITH 0 HRS DURING TRADING HRS, STANDARD REAL ESTATE DUTIES. 3) Cabbage Patch Settlement House, invest-related, Finance Committee Member, 1 hr/month and during trading hrs, duties include assisting with the annual budget and meeting with money managers. 5)Name and Address: University of Kentucky Alumni Association 400 Rose Street, Lexington KY 40506 Start date: 9/23/16 Hours spent: 1 hour/month Hours spent during trading Hours: Zero Role/Responsibility: Investment/Finance Committee; Develop the investment policy statement. Investment related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-03-29 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-25 |
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