Steven Joseph Smith

Current Employers

Robert W. Baird & Co. Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-07-13
FL	RA	APPROVED	2022-01-03
KY	RA	APPROVED	2019-10-18

TX RA
APPROVED_RES

Since 2023-07-13
FL RA
APPROVED

Since 2022-01-03
KY RA
APPROVED

Since 2019-10-18

Branch Locations

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

Organization	City	State	From	To
J.J.B. Hilliard W.L. Lyons, Llc	Louisville	KY	05/2013	Present
Robert W. Baird & Co. Incorporated	Louisville	KY	10/2019	Present

05/2013 → Present

J.J.B. Hilliard W.L. Lyons, Llc

Louisville, KY
10/2019 → Present

Robert W. Baird & Co. Incorporated

Louisville, KY

Previous Registrations

2013-05-01 → 2019-10-18

J.J.B. Hilliard, W.L. Lyons, Llc

Louisville, KY
2009-01-02 → 2013-05-02

Raymond James Financial Services Advisors, Inc

Louisville, KY
2002-06-11 → 2009-01-02

Raymond James Financial Services, Inc.

Louisville, KY

Louisville, KY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-27
S63	Uniform Securities Agent State Law Examination	1996-11-26

S65 Uniform Investment Adviser Law Examination

1999-12-27
S63 Uniform Securities Agent State Law Examination

1996-11-26