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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-02-08 |
| TN | RA | APPROVED | 2021-02-18 |
| TX | RA | APPROVED | 2021-02-12 |
Branch Locations
901 Neal Street, Suite 201, Cookeville, TN 38501 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Cookeville | TN | 08/2000 | 02/2021 |
| Robert W Baird Incoporated & Co | Cookeville | TN | 02/2021 | Present |
COOKEVILLE REGIONAL MEDICAL CENTER FOUNDATION / 1 MEDICAL CENTER BLVD. COOKEVILLE,TN 38501 / FOUNDATION/ CHARITIES, CULTURAL, EDUCATIONAL & POLITICAL ORGANISATIONS / FUNDRAISING AND DISPENSATION / MEMBER OF BOARD OF DIRECTORS / / I WILL SERVE AS BOARD PRESIDENT, AND AS A MEMBER OF THE FINANCE COMMITTEE. I WILL NOT PERSONALLY INVEST AN FUNDS ON BEHALF OF THE FOUNDATION, BUT MAY RECOMMEND OTHERS. / START DATE 07/01/2010 - 06/30/2015 / ABOUT 1 HOUR PER MONTH 2)Resource Regeneration, LLC dba S3 Recycling Solutions / 1309 Elm Hill Pike Nashville,TN 37210 / Partnership/ Other Sales of used office equipment, with an emphasis on medical. / Recycling and repurposing of medical equipment for sale, and secure data destruction. / Start Date 4/15/16 /Passive Investor Name/Address: Upper Cumberland Habitat for Humanity 1546 E. Spring St., Ste B Cookeville TN 38501 Start Date: 7/1/24 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member; Investment/Finance Committee Member Non Investment Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-08 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-21 |
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