John Dennis Stomberger

Current Employers

Robert W. Baird & Co. Incorporated

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

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2023-01-05
FL	RA	APPROVED	2021-01-27
TX	RA	APPROVED_RES	2020-10-28
KY	RA	APPROVED	2019-10-18

SC RA
APPROVED

Since 2023-01-05
FL RA
APPROVED

Since 2021-01-27
TX RA
APPROVED_RES

Since 2020-10-28
KY RA
APPROVED

Since 2019-10-18

Branch Locations

328 West Main Street, Danville, KY 40422 • United States

Seneca, SC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
J.J.B. Hilliard, W.L. Lyons, Inc.	Danville	KY	07/1991	Present
Robert W. Baird & Co. Incorporated	Danville	KY	10/2019	Present

07/1991 → Present

J.J.B. Hilliard, W.L. Lyons, Inc.

Danville, KY
10/2019 → Present

Robert W. Baird & Co. Incorporated

Danville, KY

Previous Registrations

2004-01-07 → 2019-10-18

J.J.B. Hilliard, W.L. Lyons, Llc

Danville, KY

Danville, KY

Other Businesses

1) FAMIL TIES INVESTMENTS LLC, START DATE 06/23/2017,MYSELF, SPOUSE, BROTHER AND SISTER IN LAW FORMED THIS LLC TO HOLD REAL ESTATE AND RENTAL PROPERTY WE HOLD TOGETHER, 0 HR/MO, 0 HRS/MO TRADING Name/Address: Pioneer Venture LLC 521 Lancaster Ave BTC147 Richmond KY 40475 Start Date: 9/26/22 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member Non Investment Related Passive Investor

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-11-18
S63	Uniform Securities Agent State Law Examination	1991-11-08

S65 Uniform Investment Adviser Law Examination

1999-11-18
S63 Uniform Securities Agent State Law Examination

1991-11-08

View on SEC IAPD