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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2019-12-05 |
| IN | RA | APPROVED | 2019-10-18 |
| TX | RA | APPROVED_RES | 2019-10-18 |
Branch Locations
121 North Pete Ellis Drive Suite 101, Bloomington, IN 47408 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hilliard Lyons | Bloomington | IN | 01/2006 | Present |
| Robert W. Baird & Co. Incorporated | Bloomington | IN | 10/2019 | Present |
1) GRAN HAVEN NEIGHBORHOOD ASSOCIATION, NON-INVEST RELATED, 4080 S JUDEE DR, BLOOMINGTON, IN 47401, NOMINATED BY NEIGHBORHOOD OF ABOUT 25 HOUSES TO BE TREASURER OF OUR NEIGHBORHOOD ASSOCIATION; THIS IS AN UNPAID VOLUNTEER POSITION, TREASURER, 10/2013, 1 HR/MONTH WITH 0 HRS DURING TRADING HRS, TREASURER DUTIES. 2) GREATER BLOOMINGTON CHAMBER OF COMMERCE, FINANCE COMMITTEE MEMBER, JOB TO REVIEW THE FINANCES AND MAKE SURE THEY ARE WORKING IN A FISCALLY RESPONSIBLE WAY, 400 WEST 7TH ST, STE 102, BLOOINGTON IN 47402, 1 HR/MO, 1 HR/MO TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-01 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-25 |
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