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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-01-09 |
| KY | RA | APPROVED | 2020-11-09 |
Branch Locations
1003 South Virginia Street, Hopkinsville, KY 42240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Grupo | Hopkinsville | KY | 11/2015 | 07/2017 |
| Ccboe | Hopkinsville | KY | 08/2017 | 07/2019 |
| Hilliard Lyons | Hopkinsville | KY | 06/2019 | Present |
| Robert W. Baird & Co. Incorporated | Hopkinsville | KY | 10/2019 | Present |
Name/Address: Horseshoe Restaurant, 400 Sherwood Dr Hopkinsville KY 42240 Start date: 9/2016 Hours spent: 16 hrs/week Hours spent during trading Hours: None Role/Responsibility: Bookkeeper, record keeping of documents & deposits. Not Investment related Name/Address: Spirits Society of Hopkinsville, Hopkinsville KY 42240 Start date: 8/1/2023 Hours spent: Less than 1/month Hours spent during trading Hours: None Role/Responsibility: Bookkeeper Not Investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-03 |
| S63 | Uniform Securities Agent State Law Examination | 2020-09-03 |
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