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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2018-08-15 |
| TX | RA | APPROVED | 2017-06-16 |
| CA | RA | APPROVED | 2015-01-15 |
| OR | RA | APPROVED | 2015-01-15 |
Branch Locations
360 Sierra College Drive Suite 200, Grass Valley, CA 95945 • United States
1400 Rocky Ridge Drive Suite 250, Roseville, CA 95661 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert W. Baird & Co. | Grass Valley | CA | 01/2015 | Present |
Name: Lee & Dunn Real Estate; Not investment-related; Address: 15534 Ridge Estates Rd, Nevada City, CA 95959 Nature: Rental Property; Role: Partner; Start Date: 5/10/2018; Appx hrs: 1 hour a month (if that) rent check goes to bank; Hrs during trading: None; Duties: Landlord
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-21 |
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