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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2024-10-11 |
Branch Locations
360 8Th Avenue Suite 211, Bowling Green - Park Plaza, KY 42101 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Bowling Green | KY | 04/2021 | 04/2023 |
| Pan-Oston Company | Bowling Green | KY | 10/2012 | 04/2021 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 07/2021 | 04/2023 |
| U.S. Bancorp Investments, Inc. | Bowling Green | KY | 04/2023 | 10/2024 |
| R.W. Baird | Bowling Green | KY | 10/2024 | Present |
1) Warren County South Little League Baseball; Not Investment-Related; N/A; Youth Sports; Board Member: No Ownership; Treasurer; 04/2023; 02 hours/month; 0 hours/trading; Make decision about the future of the league and work with the volunteer coaches on relaying practice/game schedules and handling any issues throughout the season. 2) Warren County Pee Wee Baseball; Not Investment-Related; N/A; Youth Sports; Board Member: No Ownership; Major League Commissioner/ Board Member; 04/2023; 02 hours/month; 0 hours/trading; Make decision about the future of the league and work with the volunteer coaches on relaying practice/game schedules and handling any issues throughout the season.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-07-09 |
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