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Harlan Roy Van Vooren

Robert W. Baird & Co. Incorporated

Roseville, CA

Auburn, CA

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Current Employers
Robert W. Baird & Co. Incorporated

777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-06-27
CA RA APPROVED 2010-07-26
  • TX RA
    APPROVED_RES
    Since 2018-06-27
  • CA RA
    APPROVED
    Since 2010-07-26

Branch Locations

1400 Rocky Ridge Drive Suite 250, Roseville, CA 95661 • United States

Auburn, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Sacramento CA 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Sacramento, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-24
S63 Uniform Securities Agent State Law Examination 1998-10-13
  • S65 Uniform Investment Adviser Law Examination
    1998-11-24
  • S63 Uniform Securities Agent State Law Examination
    1998-10-13
Other Names
  • Harlan Roy Vanvooren

View on SEC IAPD

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