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Kathryn Nusbaum

Robert W. Baird & Co. Incorporated

Davidson, NC

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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 2018-08-15
AR RA APPROVED 2016-06-01
NC RA APPROVED 2015-09-22
TX RA APPROVED 2015-09-22
  • FL RA
    APPROVED
    Since 2018-08-15
  • AR RA
    APPROVED
    Since 2016-06-01
  • NC RA
    APPROVED
    Since 2015-09-22
  • TX RA
    APPROVED
    Since 2015-09-22

Branch Locations

130 Harbour Place, Suite 350, Davidson, NC 28036 • 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
Robert W. Baird & Co. Incorporated Charlotte NC 09/2015 Present
Previous Registrations
  • 2015-05-13 → 2015-10-26
    Vanguard Advisers, Inc.
    Charlotte, NC
  • 2010-05-17 → 2011-05-27
    Middle America Planning
    Pittsburgh, PA
  • 2005-11-24 → 2009-12-31
    Middle America Planning
    Pittsburgh, PA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-05-21
S65 Uniform Investment Adviser Law Examination 2005-09-07
  • S63 Uniform Securities Agent State Law Examination
    2013-05-21
  • S65 Uniform Investment Adviser Law Examination
    2005-09-07
Designations
Other Names
  • Kathryn Balos

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · DAVIDSON, NC
LPL FINANCIAL LLC · DAVIDSON, NC
WELLS FARGO CLEARING SERVICES, LLC · DAVIDSON, NC
WELLS FARGO CLEARING SERVICES, LLC · DAVIDSON, NC
MERIT FINANCIAL ADVISORS · DAVIDSON, NC
EDWARD JONES · Davidson, NC
CAPITAL INVESTMENT ADVISORY SERVICES, LLC · DAVIDSON, NC
GENEOS WEALTH MANAGEMENT, INC. · Davidson, NC

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