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James Bradley Cain

Robert W. Baird & Co. Incorporated

Columbus, OH

Cleveland, OH

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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 2018-10-29
TX RA APPROVED_RES 2016-11-04
OH RA APPROVED 2004-12-03
  • FL RA
    APPROVED
    Since 2018-10-29
  • TX RA
    APPROVED_RES
    Since 2016-11-04
  • OH RA
    APPROVED
    Since 2004-12-03

Branch Locations

4215 Worth Ave Suite 200, Columbus, OH 43219 • United States

200 Public Square Ste 1650, Cleveland, OH 44114 • 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
Robert W Baird & Co, Inc. Milwaukee WI 03/2001 Present
  • 03/2001 → Present
    Robert W Baird & Co, Inc.
    Milwaukee, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-19
S63 Uniform Securities Agent State Law Examination 2000-07-18
  • S65 Uniform Investment Adviser Law Examination
    2000-07-19
  • S63 Uniform Securities Agent State Law Examination
    2000-07-18
Other Names
  • Jim Cain

View on SEC IAPD

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