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Tracy L Gates

Robert W. Baird & Co. Incorporated

Charlotte, NC

Matthews, NC

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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2021-07-30
WI RA APPROVED 2019-02-28
  • NC RA
    APPROVED
    Since 2021-07-30
  • WI RA
    APPROVED
    Since 2019-02-28

Branch Locations

4350 Congress St Suite 400, Charlotte, NC 28209 • United States

Matthews, NC • 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
Invest Financial Corp. Tampa FL 03/2016 01/2018
Johnson Bank Racine WI 03/2016 01/2018
Robert W Baird & Co., Incorporated Racine WI 01/2018 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-02-27
S63 Uniform Securities Agent State Law Examination 2008-10-20
  • S65 Uniform Investment Adviser Law Examination
    2019-02-27
  • S63 Uniform Securities Agent State Law Examination
    2008-10-20
Other Names
  • Tracy Lynn Lawrence
  • Tracy Lynn Garchek

View on SEC IAPD

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