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790 N Water Street Suite 1200, Milwaukee, WI 53202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2022-11-01 |
Branch Locations
790 N Water Street Suite 1200, Milwaukee, WI 53202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert W. Baird & Co. Incorporated | Milwaukee | WI | 02/1997 | 12/2021 |
| Alps Distributors, Inc. | Denver | CO | 09/2022 | Present |
| Heartland Advisors, Inc. | Milwaukee | WI | 09/2022 | Present |
| Unemployed | Sussex | WI | 12/2021 | 09/2022 |
1. HEARTLAND ADVISORS INC, INVESTMENT RELATED, 790 N WATER STREET SUITE 1200 MILWAUKEE WI 53202, ASSET MANAGEMENT, VICE PRESIDENT DIRECTOR OF TRADING, 09/2022, 160 HRS/MON, 130 HRS/MON DURING TRADING, TRADING. 2. ALPS DISTRIBUTORS, INC, INVESTMENT RELATED, 1290 BROADWAY SUITE 1000 DENVER CO 80203, BD, REGISTERED REPRESENTATIVE, 09/2022, 160 HRS/MON, 130 HRS/MON DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-07 |
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