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Heather May Brockie

Robert W. Baird & Co. Incorporated

Mishawaka, IN

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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2021-11-30
  • IN RA
    APPROVED
    Since 2021-11-30

Branch Locations

4220 Edison Lake Pkwy Ste 100, Mishawaka, IN 46545 • 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
Notre Dame Federal Credit Union South Bend IN 05/2013 04/2021
Cetera Advisor Neworks Llc El Segundo CA 01/2017 12/2018
Lpl Financial Llc South Bend IN 12/2018 04/2021
Pruco Securities Llc Indianapolos IN 08/2021 11/2021
Unemployed Mishawaka IN 04/2021 08/2021
The Prudential Insurance Company Of America Indianapolis IN 08/2021 11/2021
Robert W. Baird & Co Incorporated Mishawaka IN 11/2021 Present
  • 05/2013 → 04/2021
    Notre Dame Federal Credit Union
    South Bend, IN
  • 01/2017 → 12/2018
    Cetera Advisor Neworks Llc
    El Segundo, CA
  • 12/2018 → 04/2021
    Lpl Financial Llc
    South Bend, IN
  • 08/2021 → 11/2021
    Pruco Securities Llc
    Indianapolos, IN
  • 04/2021 → 08/2021
    Unemployed
    Mishawaka, IN
  • 08/2021 → 11/2021
    The Prudential Insurance Company Of America
    Indianapolis, IN
  • 11/2021 → Present
    Robert W. Baird & Co Incorporated
    Mishawaka, IN
Previous Registrations
Other Businesses

1) Notary Public; Notary Services started 10/16/2012 expires 2028; approx. 1 hr/mo; verify identity of person needing notary and provide such service

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-11-20
S63 Uniform Securities Agent State Law Examination 2019-12-03
  • S65 Uniform Investment Adviser Law Examination
    2020-11-20
  • S63 Uniform Securities Agent State Law Examination
    2019-12-03
Other Names
  • Heather May Stavropoulos
  • Heather M Stavropoulos
  • Heather May Brockie

View on SEC IAPD

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Other Investors

BARBARA LYNN WOLFE
DANIEL DOUGLAS ARNOLD
RAYMOND SAMUEL BYERS
JOSEPH FRANK VARGA
CHARLES ADAMS HENRY
JOHN WILLIAM ROSENTHAL
NATHAN WILLIAM RUMELY
KYLE PATRICK EVERETT

Other Offices

UBS FINANCIAL SERVICES INC. · MISHAWAKA, IN
ROSENTHAL | HENRY CAPITAL ADVISORS, INC. · MISHAWAKA, IN
RAYMOND JAMES & ASSOCIATES, INC. · MISHAWAKA, IN
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · MISHAWAKA, IN
SYM FINANCIAL ADVISORS · Mishawaka, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Mishawaka, IN
WELLS FARGO CLEARING SERVICES, LLC · MISHAWAKA, IN
HILLTOP WEALTH & TAX SOLUTIONS · MISHAWAKA, IN

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