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Current Employers
Robert W. Baird & Co. Incorporated

777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2023-09-05
KY RA APPROVED 2023-08-30
  • IN RA
    APPROVED
    Since 2023-09-05
  • KY RA
    APPROVED
    Since 2023-08-30

Branch Locations

4803 Olympia Park Plaza 4Th Floor Suite 4000, Louisville, KY 40241 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Securities America Louisville KY 03/2015 09/2016
Unemployed New Albany IN 09/2016 01/2017
J.J.B. Hilliard W.L. Lyons, Llc Louisville KY 01/2017 09/2017
J.J.B. Hilliard W L Lyons Lousiville KY 09/2017 10/2019
Robert W Baird & Co Inc Louisville KY 10/2019 Present
  • 03/2015 → 09/2016
    Securities America
    Louisville, KY
  • 09/2016 → 01/2017
    Unemployed
    New Albany, IN
  • 01/2017 → 09/2017
    J.J.B. Hilliard W.L. Lyons, Llc
    Louisville, KY
  • 09/2017 → 10/2019
    J.J.B. Hilliard W L Lyons
    Lousiville, KY
  • 10/2019 → Present
    Robert W Baird & Co Inc
    Louisville, KY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-28
S63 Uniform Securities Agent State Law Examination 2023-02-21
  • S66 Uniform Combined State Law Examination
    2023-08-28
  • S63 Uniform Securities Agent State Law Examination
    2023-02-21
Other Names
  • Carol Lynn Foushee
  • Carol Lynn Foushee

View on SEC IAPD

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