Michael Andrew Swindall

Current Employers

Robert W. Baird & Co. Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-07-31
KY	RA	APPROVED	2019-10-18

TX RA
APPROVED

Since 2020-07-31
KY RA
APPROVED

Since 2019-10-18

Branch Locations

4803 Olympia Park Plaza 4Th Floor Suite 4000, Louisville, KY 40241 • 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

Organization	City	State	From	To
J.J.B. Hilliard, W.L. Lyons, Llc	Louisville	KY	06/2015	Present
Robert W. Baird & Co. Incorporated	Louisville	KY	10/2019	Present

06/2015 → Present

J.J.B. Hilliard, W.L. Lyons, Llc

Louisville, KY
10/2019 → Present

Robert W. Baird & Co. Incorporated

Louisville, KY

Previous Registrations

2015-10-12 → 2019-10-18

J.J.B. Hilliard, W.L. Lyons, Llc

Louisville, KY

Other Businesses

Name/Address: Louisville Fellows Program / 6710 Wolf Penn Branch Road, Louisville, KY 40027 Start Date: 08/01/2023 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Treasurer Non Investment Related Name/Address: St. Francis in the Fields / 6710 Wolf Penn Branch Rd, Louisville, KY 40027 Start Date: 1/1/24 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member on Finance Committee Investment Related

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-10-08

S66 Uniform Combined State Law Examination

2015-10-08

Designations

Other Names

Michael Swindall

View on SEC IAPD