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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 2022-01-28
KY RA APPROVED 2019-10-18
TX RA APPROVED_RES 2019-10-18
  • FL RA
    APPROVED
    Since 2022-01-28
  • KY RA
    APPROVED
    Since 2019-10-18
  • TX RA
    APPROVED_RES
    Since 2019-10-18

Branch Locations

4803 Olympia Park Plaza 4Th Floor Suite 4000, Louisville, KY 40241 • 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
J.J.B. Hilliard, W.L. Lyons, Inc. Louisville KY 10/1996 Present
Robert W. Baird & Co. Incorporated Louisville KY 10/2019 Present
Previous Registrations
  • 2004-01-07 → 2019-10-18
    J.J.B. Hilliard, W.L. Lyons, Llc
    Louisville, KY
    Louisville, KY
Other Businesses

1)TUGFORK LIMITED PARTNERSHIP MR. HARRISON HAS NO TITLE, LEADERSHIP DUTIES OR ANY RESPONSBILITY WITH THE COMPANY. MR. HARRISON IS A PASSIVE INVESTOR AND HE RECEIVES MONTHLY CHECKS FROM THE PRODUCTION OF THE NATURAL GAS WELLS. 2) MGR FOR FAMILY'S FARM, NON-INVEST RELATED, PEYTS PLACE LLC 1 HR/MONTH, 0 HRS/MONTH DURING TRADING HRS. 3) TTEE FOR RELATIVE'S TRUST, INVEST-RELATED, LESS THAN 30 MINUTES/MONTH INCLUDING DURING TRADING HOURS, DUTIES INCLUDE BEING TRUSTEEM PAYING TAXES AND EXPENSES FOR TRUST. 4) JEB HOLDINGS, LLC THAT NVESTS IN MARKETABLOE SECURITIES, PRIVATE COMPANIES AND REAL ESTATE., STATE DATE 08/25/2016, 1 HR/MO, 0 HRS/MO TRADING HOURS. Name/Address: Juniper Club / 18535 Juniper Hunt Club Rd, Fort McCoy, FL 32102 Start Date: 10/10/23 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Finance Committee Investment Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-09-14
S63 Uniform Securities Agent State Law Examination 1997-01-08
  • S65 Uniform Investment Adviser Law Examination
    2004-09-14
  • S63 Uniform Securities Agent State Law Examination
    1997-01-08

View on SEC IAPD

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