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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-01-05 |
| TX | RA | APPROVED | 2024-01-04 |
| VA | RA | APPROVED | 2024-01-04 |
Branch Locations
12500 Fair Lakes Circle Suite 325, Fairfax, VA 22033 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edelman Financial Services, Inc. | Fairfax | VA | 12/1999 | 11/2018 |
| Ef Legacy Securities, Llc | Henrico | VA | 04/2016 | 10/2018 |
| Financial Engines Advisors L.L.C. | Sunnyvale | CA | 11/2018 | 01/2024 |
| Robert W. Baird & Co Inc. | Fairfax | VA | 01/2024 | Present |
Name/Address: Northern Neck LLC 68 Captain Miles Lane Concord MA 01742 Start Date: 4/21/21 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Investor Investment Related
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-02-04 |
| S65 | Uniform Investment Adviser Law Examination | 1998-12-08 |
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