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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 2019-03-11
TX RA APPROVED 2019-03-11
  • FL RA
    APPROVED
    Since 2019-03-11
  • TX RA
    APPROVED
    Since 2019-03-11

Branch Locations

945 Bunker Hill Rd Suite 300, Houston - Memorial City, TX 77024 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Houston TX 01/2011 11/2016
Wells Fargo Clearing Services, Llc Houston TX 11/2016 03/2019
Robert W. Baird & Co. Houston TX 03/2019 Present
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Houston, TX
  • 11/2016 → 03/2019
    Houston, TX
  • 03/2019 → Present
    Robert W. Baird & Co.
    Houston, TX
Previous Registrations
  • 2011-01-03 → 2019-03-14
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
  • 2006-03-03 → 2011-01-03
    Wells Fargo Investments, Llc
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Metairie, LA
Other Businesses

JWN-CRN INTERESTS LLC; INV RELATED; HOUSTON, TX; HOLDING COMPANY FOR RESTAURANT INV; 100% OWNERSHIP WITH SPOUSE; START 10/9/2015; 0 HOURS PER MONTH, 0 DURING TRADING; MEMBER, ORGANIZER. JUSTIN NICHOLS & COURTENAY NICHOLS LLC, INV RELATED, HOUSTON, TX, 50% OWNERSHIP WITH SPOUSE, START 6/1/2017, ZERO HOURS PER MONTH, BUYING AND SELLING HOUSES TO REHAB. Name/Address: Buckley Performance 6320 Fairdale Ln Houston TX 77057 Start Date: 12/20/22 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Passive Investor; Training Facility Non Investment Related Name/Address: NFHS Network 2990 Brandywine Rd #300 Atlanta GA 30341 Start Date: 9/6/24 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Broadcasting Sporting Events Non Investment Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-28
S63 Uniform Securities Agent State Law Examination 2000-05-17
  • S66 Uniform Combined State Law Examination
    2006-02-28
  • S63 Uniform Securities Agent State Law Examination
    2000-05-17

View on SEC IAPD

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