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Deborah Lynn Rotz

Robert W. Baird & Co. Incorporated

Cleveland, OH

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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2018-07-09
SC RA APPROVED 2018-07-09
  • OH RA
    APPROVED
    Since 2018-07-09
  • SC RA
    APPROVED
    Since 2018-07-09

Branch Locations

200 Public Square Ste 1650, Cleveland, OH 44114 • 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. Inc. Cleveland OH 07/2018 Present
Ubs Financial Services Cleveland OH 08/2006 07/2018
  • 07/2018 → Present
    Robert W. Baird & Co. Inc.
    Cleveland, OH
  • 08/2006 → 07/2018
    Ubs Financial Services
    Cleveland, OH
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-09
S63 Uniform Securities Agent State Law Examination 2000-07-07
  • S66 Uniform Combined State Law Examination
    2008-02-09
  • S63 Uniform Securities Agent State Law Examination
    2000-07-07

View on SEC IAPD

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