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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-07-10 |
| FL | RA | APPROVED | 2017-09-25 |
| TX | RA | APPROVED_RES | 2014-11-07 |
| WA | RA | APPROVED | 2014-11-07 |
Branch Locations
601 Union Street, Suite 4700, Seattle, WA 98101 • United States
Indian Wells, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert W. Baird & Co. Incorporated | Seattle | WA | 11/2014 | Present |
NAME/ADDRESS: 1741 1st Sodo LLC 140 Lakeside Ave #351 Seattle, WA 98112. Role: LLC Limited Partner Start 09/2020 HOURS DEVOTED: 0-2 hours/month, Zero during market hours Name: YMCA of Greater Seattle; Investment-related; Address: 909 4th Avenue, Seattle, WA 98104; Nature: Charitable; Role: Board Member; Start Date: 12/19/2017; Appx hrs: 1-2 hours/week; Hrs during trading: less than 1 hour/week; Duties: One of approximately 40 people to help provide oversight and direction to the organization. Name: PP Holdings LLC 434 McGilvra Blvd. E. Seattle WA 98112 Type: Family LLC with my sister, brother, and mother Role:Board Member/Officer/Partner Investment related Start 7/6/18 Time: 5-10 hours/month, 1-2.3 during market hours Responsibilities: Review investments quarterly NAME/ADDRESS: Ragen Family Foundation / 434 McGilvra Blvd E. Seattle, WA 98112. Role: Board Member/Treasurer Investment related Start 7/6/18 NATURE OF ENTITY: Charitable family foundation. RESPONSIBILITIES IN ROLE: Review investments quarterly HOURS DEVOTED: 5-10 hours/month, 15% during market hours Name/Address: 1509 Mercer LLC 232 Seventh Avenue N. Seattle WA 98109 Start Date: 5/15/23 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Rental Property Passive Investor Non Investment Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 1991-06-11 |
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