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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2017-08-23 |
| TX | RA | APPROVED_RES | 2017-02-07 |
| IA | RA | APPROVED | 2011-02-18 |
| OK | RA | APPROVED | 2011-02-18 |
Branch Locations
302 Jones Street Suite 210, Sioux City, IA 51101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert W. Baird & Co. | Sioux City | IA | 02/2011 | Present |
Name/Address: Siouxland Chamber of Commerce, 101 Pierce St Sioux City IA 51101 Start date: 11/22/2019 Hours spent: 1-5 hours/month Hours spent during trading Hours: 3-5 hours/month Role/Responsibility: Executive Board member, Past Board Chairman Not Investment related Name/Address: Ronald McDonald House of Siouxland 2500 Nebraska St Sioux City IA 51104 Start date: 5/28/20 Hours spent: 8 hours/month Hours spent during trading hours: 0-1 hour/month Role/Responsibility: Board Member: Investment/Finance Committee Investment-related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-05-01 |
| S63 | Uniform Securities Agent State Law Examination | 1991-11-20 |
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