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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-01-08 |
| IN | RA | APPROVED | 2019-10-18 |
| TX | RA | APPROVED | 2019-10-18 |
Branch Locations
110 Main Street, Evansville, IN 47708 • United States
Newburgh, IN • United States
N. Ft. Myers, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert W. Baird & Co. Incorporated | Evansville | IN | 10/2019 | Present |
| J.J.B. Hilliard, W.L. Lyons, Inc. | Evansville | IN | 07/1997 | Present |
3) Deaconoess Health System, Inc Member, Treasurer of Board, Chair of Finance Committee, Member of Governance Committee responsibilities for a hospital system, start date 04/01/2018, 600 Mary Stree, evansville, IN 47747, 5 hrs/mo, 3 hrs/mo trading hours Name/Address: Investments and Wealth Institute, 5619 DTC Parkway, Suite 500 Greenwood Village CO 80111 Start date: 5/2017 Hours spent: 20 hours/year Hours spent during trading Hours: 15 hours Role/Responsibility: Director/Board Member Non Investment related Name/Address: Intertwined Finance LLC 8437 Bell Oaks Drive, Unit 910 Newburgh IN 47630 Start Date: 4/27/22 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member; Passive Investment. Investment Related Name/Address: Catholic Diocese of Evansville - Priests Retirement Board 4200 N Kentucky Ave Evansville IN 47724 Start Date: 3/7/23 Hours Spent: 0-1 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member; Investment/Finance Committee Investment Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-15 |
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