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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-02-10 |
| KY | RA | APPROVED | 2019-10-18 |
| TX | RA | APPROVED_RES | 2019-10-18 |
Branch Locations
4803 Olympia Park Plaza 4Th Floor Suite 4000, Louisville, KY 40241 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert W. Baird & Co. Incorporated | Louisville | KY | 10/2019 | Present |
| J.J.B. Hilliard, W.L. Lyons, Llc | Louisville | KY | 05/2008 | Present |
JAZZRO, NOT INVESTMENT RELATED, 309 CANNONS LANE, LOUISVILLE, KY 40206, ADVOCATE PROMOTING / SELLING THE SERVICE OF AN INTERNET BASED CLIENT RELATIONSHIP MANAGEMENT SYSTEM (CRMS) CALLED JAZZRO. REOCCURING REFERRAL REVENUES WILL BE RECEIVED. NO SHARES OF THE COMPANY "JAZZRO" OR ANY OTHER COMPANY WILL BE SOLD. NO CURRENT HILLIARD LYONS CLIENTS OR PROSPECTS WILL BE INCLUDED IN MY OUTSIDE BUSINESS ACTIVITIES WITH ONE EXCEPTION. MY LONG-TIME FRIEND, KEVIN FRANTZ WHO HAS A SMALL IRA ($12K) THAT IS HERE AT HL. HE WILL ALSO BE AN ADVOCATE AT JAZZRO,ADVOCATE,12/2014,8 HRS PER MONTH BUT NOT DURING TRADING HOURS, DUTIES ARE ADVOCATE / INDEPENDENT SALES CONTRACTOR SEEKING TO SIGN UP ADVOCATES THAT ARE IN NEED OF A CRMS SERVICE / SYSTEM FOR THEIR CLIENTS OR PROSPECTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-10-15 |
| S63 | Uniform Securities Agent State Law Examination | 2003-03-31 |
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