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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2023-09-13 |
| TX | RA | APPROVED | 2023-08-31 |
Branch Locations
4803 Olympia Park Plaza 4Th Floor Suite 4000, Louisville, KY 40241 • 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 |
|---|---|---|---|---|
| Raymond James Financial Services, Inc | Louisville | KY | 09/2008 | 08/2023 |
| Raymond James Financial Services Advisors, Inc | Louisville | KY | 01/2009 | 08/2023 |
| Stock Yards Financial Services | Louisville | KY | 09/2008 | 08/2023 |
| Stock Yards Bank & Trust | Louisville | KY | 10/2016 | 08/2023 |
| Stock Yards Investment Services | Louisville | KY | 09/2009 | 08/2023 |
| R.W. Baird | Louisville | KY | 08/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1991-05-06 |
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